1079 compliance jobs found in New York, NY

Job Description Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Lead within the J.P. Morgan Wealth Management's Solutions Compliance Group, you will be a part of an innovative and talented team supporting the Global Private Bank's Solutions business. You will need to possess operational and regulatory knowledge and experience with managed account and retirement products and services and will be expected to strategically partner with the business and other control functions to ensure that...

Job Description Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are...

Job Description YOUR IMPACT Are you passionate about delivering mission-critical, high quality machine learning models, using cutting-edge technology, in a dynamic environment? OUR IMPACT We are Compliance Engineering, a global team of more than 300 engineers and scientists who work on the most complex, mission-critical problems. We: build and operate a suite of platforms and applications that prevent, detect, and mitigate regulatory and reputational risk across the firm. have access to the latest technology and to massive amounts of structured and unstructured data. leverage modern frameworks to build responsive and intuitive UX/UI and Big Data applications. Within Compliance engineering, we are hiring for a Machine Learning Engineering role within Models Engineering. The firm is making a significant investment improve the precision/ recall of the Compliance models portfolio in 2024. To achieve that we are hiring experienced MLEs who have experience of developing...

Job Description: Job Title Compliance Officer - Investment Bank Compliance - Origination & Advisory - Capital Markets Corporate Title Vice President Location New York, NY Overview You will focus on providing real-time support to the Origination & Advisory Capital Markets business which focuses on investment banking advisory engagements and capital markets products and services, including origination, structuring, execution and syndication of securities offerings. This will involve advising on issues (questions, problems or proposals) related to confidential information and information barriers, communications with the public-side of the Firm. External public-side investors, underwriting, marketing and selling securities offerings, internal controls, supervision and other issues that are typical for a large global investment bank. What We Offer You A diverse and inclusive environment that embraces change, innovation, and collaboration A hybrid working...

Job Description Job Title: Global IB Compliance Officer Office Location: Hybrid/ 520 Madison Avenue, New York or 101 Hudson Street, Jersey City, New Jersey Jefferies is a leading global, full-service investment banking and capital markets firm that provides advisory, sales and trading, research and wealth and asset management services. With more than 40 offices around the world, Jefferies offer insights and expertise to investors, companies, and governments. Essential Duties & Responsibilities: This position is for a Vice-President role, globally managing the IB, ECM and DCM ("Global IB") Compliance function. Typical responsibilities: Assisting and advising on IB, FI and Equities Capital Markets transactions. Reviewing and clearing transactional conflicts. Attending, and advising during, M+A and Capital Markets committee meetings. Reviewing and updating of Global IB policies. Delivering training to Global IB. Advising Global IB on core compliance...

Job Description Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth. The Vice President, Compliance Officer is responsible for acting in an advisory capacity to the Advanced Clearing and Prime Services ("ACaPS") Division and Fixed Income, Commodities, Currencies and Stock Lending Division ("FICCS") as well as the Operations Department. Activities in these departments include correspondent clearing services, prime brokerage services, fixed income trading, stock lending, and transaction reporting. This role will be responsible for creating and updating the policies for these divisions and...

Job Description Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are...

Job Description Join our Compliance Consulting team (USCC) as a Vice President! At Kroll you will provide support and guidance to a wide variety of asset management firms in managing their SEC compliance programs. You will work alongside accomplished senior staff, enhancing your own regulatory expertise, while mentoring junior team members and delivering excellent service. You will be part of an award-winning and respected team supporting a global network of clients and colleagues. Responsibilities: We are seeking an individual interested in working within a cooperative environment who has a strong grasp of the Investment Advisers Act and the rules and regulations thereunder and compliance with same. You must be capable of managing multiple clients and providing sound practical guidance, staying up to date on regulatory developments and best practices, and contributing to team learning and culture. Responsibilities of a Vice President include, but are not limited to:...

About CPC Climate Capital: CPC Climate Capital is a new subsidiary within The Community Preservation Corporation (CPC) and a sub-award partner of Climate United Fund. CPC Climate Capital will support Calvert Impact in the deployment of approximately $2.5 billion in Greenhouse Gas Reduction (GGRF) funds by advancing the CPC Climate Capital Multifamily Decarbonization Strategy nationally. CPC Climate Capital was selected to administer a portion of the awarded GGRF funds on behalf of the Environmental Protection Agency (EPA) to provide subordinate debt financing to owners of multifamily housing nationally to reduce or eliminate on-site fossil fuels, thereby reducing greenhouse gas emissions. These climate goals will be simultaneously delivered against other critical national priorities, including the creation and preservation of affordable housing, promoting equity and environmental justice, and support of high-quality jobs. For more information, please visit us at...

Serves as an Electronic Trading (ET) product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise. In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet the specific Electronic Trading and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance related guidance across Electronic Trading (ET) businesses and the associated regulatory rules/laws and interpretation on internal policies and procedures. Responsibilities: Assisting in the design, development, delivery and...

Job Description: Job Title IB Regulatory Compliance - Futures Commission Merchant Corporate Title Vice President Location New York, NY Overview As a Futures Commission Merchant Compliance Vice President, you will have the opportunity to work in a fast paced, rules driven second line of defense function, partnering with multiple business and functional stakeholders throughout the Bank to ensure reasonably designed compliance frameworks for US Futures rules and policies. There will be opportunity to learn and grow in the cleared swap Over-The-Counter (OTC), Swap Dealer and Security Based Swap Dealer space as well and you are a team player who is willing to learn from team members and pitch in to help when needed. You have experience working directly with Regulators and senior executives and you appreciate the importance of managing multiple stakeholders' interests - you've done that before. Your general knowledge of Commodity Futures Trading Commission (CFTC) futures...

Job Description Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are...

Central Compliance, Vice President- Corporate & Investment Banking Country: United States of America The Central Compliance VP Monitors activities to minimize the company's exposure to risk. Activities may include data analysis, risk identification and remediation. Represents or supports the reputation of the company to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company and legal standards. Responsible for ensuring that company's activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions. More specifically, this role will provide Compliance advisory and operational support for Licensing and Registration and Employee Compliance (including but not limited to Code of Conduct, Personal Account Dealing, Outside Business Activities Gifts & Entertainment, Political Contributions, SEC Rule 15a-6 related certifications, Continuing Education Essential...

Central Compliance, Vice President- Corporate & Investment Banking New York, United States of America The Central Compliance VP Monitors activities to minimize the company's exposure to risk. Activities may include data analysis, risk identification and remediation. Represents or supports the reputation of the company to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company and legal standards. Responsible for ensuring that company's activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions. More specifically, this role will provide Compliance advisory and operational support for Licensing and Registration and Employee Compliance (including but not limited to Code of Conduct, Personal Account Dealing, Outside Business Activities Gifts & Entertainment, Political Contributions, SEC Rule 15a-6 related certifications, Continuing Education Essential...

Blackstone is the world's largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com. Follow @blackstone on LinkedIn, Twitter, and Instagram. The candidate will join the Data Policy and Strategy Office in Blackstone's Legal & Compliance department to support its cybersecurity, privacy and data protection programs, and to address regulatory and legal issues arising from Blackstone's processing of personal and confidential data,...

Job Description Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are...

Job Description Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are...

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise. In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet business and customer needs in a manner consistent with the Citi program framework. Responsibilities: Participating in the design, development, delivery and maintenance of best-in-class Compliance programs, policies and practices for ICRM. Analyzing complex comparative data, preparing and presenting regional and global reports related to compliance risk assessments, and monitoring of compliance related issues. Reviewing materials to ensure compliance with various...

Job Description YOUR IMPACT Are you passionate about developing mission-critical, high quality software solutions, using cutting-edge technology, in a dynamic environment? We are looking for talented and enthusiastic professionals to join our engineering team and help build out a broad set of user facing and data processing platforms. OUR IMPACT The Goldman Sachs Compliance Division prevents, detects and mitigates regulatory and reputational risk across the firm, and helps to strengthen the firm's culture of compliance. As an independent control function and part of the firm's second line of defense, Compliance: Assesses the firm's compliance, regulatory and reputational risk Monitors for compliance with new or amended laws, rules and regulations Designs and implements controls, policies, procedures and training Conducts independent testing Investigates, surveils and monitors for compliance risks and breaches Leads the firm's response to regulatory...

Investment & Trade Compliance, Vice President , Compliance - New York PineBridge Investments is a private, global asset manager focused on active, high conviction investing. We draw on the collective power of our experts in each discipline, market, and region of the world through an open culture of collaboration designed to identify the best ideas. Our mission is to exceed clients' expectations on every level, every day. As of 30 June 2024, the firm managed US $169.7 billion across global asset classes for sophisticated investors around the world. The role will be based in New York with the expectation of a hybrid work model. PineBridge is seeking an Investment & Trade Compliance Associate/Vice President to assist the PineBridge Global Compliance Team in the oversight of compliance of the asset management business and specifically the provisions of relevant securities laws. The successful candidate should be able to monitor client portfolios and perform the daily...