643 compliance officer jobs found in New York, NY

Job Description Senior Vice President, Senior Swap Dealer Compliance Officer Reporting to: Head of Swap Dealer Compliance Job Description : Serves as key function/business/product compliance advisor for the Compliance Department responsible for establishing internal strategies, policies, procedures, processes, and programs to comply with U.S. swaps and security-based swaps rules and regulation. Responsibilities: Advise and implement enhancements to the overall Jefferies U.S. Swap Dealer Compliance Program, including policies and procedures, training, issues management, governance and management reporting, metrics and assisting in the remediation of non-compliance matters. Work closely with internal stakeholders (business and corporate functions including Operations, Risk, Finance, etc.) on CFTC, NFA and SEC swap dealer issues. Advise the business and corporate functions on regulatory requirements, developments and expectations across the swap dealer regimes...

Job Description AML Compliance Officer - Wealth Management / Prime Brokerage The Compliance Anti Money Laundering Officer covering Wealth Management / Prime Brokerage is a senior professional level role responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader Anti-Money Laundering (AML) team. The overall objective is to design and implement the AML risk management program for the Wealth Management and Prime Brokerage divisions and utilize in-depth specialty knowledge to identify issues/problems and devise recommendations for complex situations. Responsibilities: Develop and assist in the implementation of firm-wide AML risk management policy and strategic AML Compliance Risk Management direction as well as maintain the AML compliance program for the Wealth Management and Prime Brokerage divisions. Translate AML strategy and goals across Wealth Management and Prime...

Job Title VP - Tax Compliance Officer Job Description Working at Rabobank provides growth opportunities and a positive work environment. In this role the VP should enjoy and thrive working in a collaborative environment. This key role is responsible for a broad range of tax disciplines focused on the US branch operations of a Netherlands bank including tax provision, international tax, state and local tax, indirect tax and transfer pricing. Our Shared Future: "The VP of Tax enjoys the team spirit and the learning opportunities available when working as part of a smaller team." You and Your Job As the VP of Tax you will be successful in applying the ever changing tax law to your roles and responsibilities. The Vice President will report directly to the Executive Director who reports directly to the Managing Director, Head of NA Tax. As Vice President of Tax, the incumbent is the primary point of contact for tax related matters. The VP of Tax will liaise with other...

Job Description: Job Title Compliance Officer - Investment Bank Compliance - Origination & Advisory Corporate Title Vice President Location New York, NY Overview You will focus on providing real-time support to the Origination & Advisory 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 model, allowing for in-office /...

Job Description: Job Title Compliance Officer - Fixed Income Sales & Trading - Credit Corporate Title Vice President Location New York, NY Overview You will provide real-time support to the Fixed Income & Currencies (FIC) Sales & Trading business which focuses on credit, rates, securitized products, foreign exchange, and emerging markets debt. Your primary focus will be aligned to the credit business. This includes advising on issues (questions, problems, or proposals) related to Credit sales and trading activities, surveillance and monitoring of 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 model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days Employee Resource Groups support an inclusive workplace for everyone and promote...

Serves as a senior Research, Marketing, and Content Compliance 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 protect the franchise. In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply ICRM program solutions that meet the Research, Marketing, and Content businesses and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to the Research, Marketing, and Content products and services and the associated regulatory rules/laws and interpretation on internal policies and procedures. This individual will also play a key role in...

Job Description: J ob Title Compliance Officer - Investment Bank Compliance - Fixed Income Sales & Trading - Rates and FX Corporate Title Vice President Location New York Overview You will focus on providing real-time support to the Fixed Income & Currencies (FIC) Sales & Trading business. The FIC Sales & Trading business focuses on credit, rates, securitized products, foreign exchange, and emerging markets debt. With primary focus on the Rates and Foreign Exchange (FX) business, you will advise on issues (questions, problems, or proposals) related to Rates sales and trading activities, surveillance and monitoring of 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 model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days...

Description & Requirements Compliance Officer, Associate or Vice President New York, NY About Fortress Fortress Investment Group LLC is a leading global investment manager with approximately US$48 billion of assets under management as of June 30, 2024. Founded in 1998, Fortress manages assets on behalf of over 2,000 institutional clients and private investors worldwide across a range of credit and real estate, private equity, permanent capital, and multi-manager investment strategies. Investment performance is our cornerstone - we strive to generate strong risk adjusted returns for our investors over the long term. For additional information on Fortress, please visit www.fortress.com . About the position Fortress is seeking an experienced Compliance Officer to join the Fortress Legal and Compliance Department. Fortress is a SEC-registered investment adviser (operating in multiple foreign jurisdictions) with approximately $48 billion in assets under...

Description & Requirements VP, Compliance Officer New York, New York About Fortress Fortress Investment Group LLC is a leading global investment manager with approximately US$48 billion of assets under management as of June 30, 2024. Founded in 1998, Fortress manages assets on behalf of over 2,000 institutional clients and private investors worldwide across a range of credit and real estate, private equity, permanent capital, and multi-manager investment strategies. Investment performance is our cornerstone - we strive to generate strong risk adjusted returns for our investors over the long term. For additional information on Fortress, please visit www.fortress.com . About The Position Fortress seeks an experienced Compliance Officer to join the Fortress Legal and Compliance Department and will report directly to the firm's Chief Compliance Officer. Fortress is a SEC-registered investment adviser (operating in multiple foreign jurisdictions) with...

The Compliance Anti Money Laundering Risk Management Officer is a senior professional level role responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader Anti-Money Laundering (AML) team. The overall objective is to utilize established disciplinary knowledge to identify inconsistencies in data or result and formulate strategic recommendations on policies, procedures, and practices. Responsibilities: Identify, vet and address potential risks or escalated issues with the assistance of functional partners Collaborate with the team to provide advice to business with respect to applicability of policies and implementation of AML program and regulatory changes Provide input/advice on business initiatives, new products, and complex transactions Supervise and participate in internal assurance processes such as Enterprise wide AML risk assessment, self-assessment, and internal...

Business Overview: The Americas Market Integrity (MI) Domain is a part of the Ethics and Compliance Department that provides transversal support to all the business functions performed in the US, Canada and Latin America.Market Integrity centers on the idea that markets, if corrupt and inefficient, are unattractive to investors. Regulators, law enforcement, exchanges, financial institutions, and investors all rely on the orderly operation of financial markets to provide a foundation of economic growth and efficient access to capital. The violation of these principles can cause severe disruptions in investor confidence and ultimately threaten the stability of the financial system.Trade Surveillance is one of the key pillars of the Market Integrity Domain. Candidate SuccessFactors: Candidates are measured on the following four performance drivers, which will dictate how individual impact is considered on the Americas platform: Results and Impact Able to influence peers and...

Overview Princeton University seeks an experienced leader to serve as its next Vice President and Chief Audit & Compliance Officer (VP & CACO). The VP & CACO will bring subject-matter expertise, sound judgment, excellent relationship and management skills, and a strategic understanding of risk-based audit and compliance approaches to their leadership of this important area. Reporting administratively to the University's executive vice president and functionally to the chair of the Audit and Compliance Committee of the Board of Trustees, the VP & CACO advises leaders and managers across Princeton on its financial integrity, operational efficiency and effectiveness, and regulatory positioning. The VP & CACO and their staff contribute to the University's excellence. Responsibilities The Vice President and Chief Audit & Compliance Officer leads, manages, and organizes all aspects of Princeton's internal audit function and institutional compliance program...

Our Purpose Mastercard powers economies and empowers people in 200+ countries and territories worldwide. Together with our customers, we're helping build a sustainable economy where everyone can prosper. We support a wide range of digital payments choices, making transactions secure, simple, smart and accessible. Our technology and innovation, partnerships and networks combine to deliver a unique set of products and services that help people, businesses and governments realize their greatest potential. Title and Summary VP, Legal Compliance, Bank Secrecy Act Officer Overview MTS US is the authorised and regulated entity within Mastercard Transaction Services (MTS) through which regulated payments activity is undertaken for our US based Customers and others around the world. MTS is a division within Mastercard that undertakes payments business wherever a Product or Business function requires regulated support. MTS is looking for a Bank Secrecy Act (BSA) Officer to drive our...

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with 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 protect 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 function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/business/product and guidance on function/business/product rules/laws and interpretation on internal policies and procedures Responsibilities: Assisting in the design, development, delivery and...

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with 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 protect 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 function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/business/product and guidance on function/business/product rules/laws and interpretation on internal policies and procedures Responsibilities: Assisting in the design, development, delivery and...

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with 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 protect 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 function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/business/product and guidance on function/business/product rules/laws and interpretation on internal policies and procedures. Responsibilities: Regulatory remediation effort support along with...

The Business Risk and Control Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business. Recognized technical authority for an area within the business. Requires basic commercial awareness. There are typically multiple people within the business that provide the same level of subject matter expertise. Developed communication and diplomacy skills are required in order to guide, influence and convince others, in particular colleagues in other areas and occasional external customers. Significant impact on the area through complex deliverables. Provides advice and counsel related to the technology or operations of the business. Work impacts an entire area, which eventually affects the overall performance and effectiveness of the sub-function/job family Responsibilities: Help contribute to governance and the facilitation of the execution of the Manager...

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with 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 protect 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 function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/business/product and guidance on function/business/product rules/laws and interpretation on internal policies and procedures Responsibilities: Assist in the design, development, delivery and...

Serves as a senior CitiDirect & CitiConnect 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 protect 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 CitiDirect & CitiConnect and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to operations, financial requirements, and guidance on the supported CitiDirect and CitiConnect products and the associated regulatory rules/laws and interpretation on internal policies and procedures....

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. . The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance. Responsibilities: Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. Improving surveillance tools and applications...