740 compliance officer jobs found in New York, NY

Founded in 1992, Cerberus is a global leader in alternative investing with approximately $65 billion in assets across complementary credit, private equity, and real estate strategies. We invest across the capital structure where our integrated investment platforms and proprietary operating capabilities create an edge to improve performance and drive long-term value. Our tenured teams have experience working collaboratively across asset classes, sectors, and geographies to seek strong risk-adjusted returns for our investors. For more information about our people and platforms, visit us at www.cerberus.com . Job Purpose: Cerberus is seeking an analytical and collaborative attorney who is interested in serving as a compliance officer and associate general counsel. This individual will play a pivotal and diverse role in safeguarding our organization and its investments against financial crimes and ensuring adherence to ethical standards. The role will involve participation in all...

Job Description Job Title: Fixed Income Compliance Officer Level: Vice President Reporting to: US Head of Fixed Income Compliance Job Description : The Fixed Income Compliance Officer serves as key function/business/product compliance advisor within the Fixed Income Compliance Advisory Group with primary coverage of U.S. Rates. Responsibilities: This position is based in New York City in the Fixed Income Compliance Advisory Group and will be primarily responsible for the following: Providing regulatory and compliance advice to business partners about complex sales and trading issues, with a focus on U.S. Rates activities, including Primary Dealer / Treasuries, Repo, GSE/Agencies, and fixed income futures. Serve as a subject matter expert on products, regulatory reporting, and broker-dealer operations by maintaining proficient knowledge of applicable functions. Working with business partners (i.e., Surveillance, IT, Operations etc.) to develop and enhance...

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Role Overview PIMCO is seeking a dynamic...

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Overview PIMCO is seeking a Senior Compliance...

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 Investment Bank Compliance Officer - 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 Generous vacation, personal and volunteer days Employee...

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 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...

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...

Business Overview: The Global Banking Regulations ("GBR") group is a Compliance global team covering Structural Banking Reform (CFTC Swap Dealer, SEC Security-Based Swap Dealer, French Banking Law, and Volcker Rule). With respect to the CFTC Swap Dealer and the SEC Security-Based Swap Dealer requirements, GBR's key missions are to: Organize and contribute to supervise the compliance program for Swap Dealer rules, both within the registered perimeter and for unregistered entities; Monitor, analyze and advise on the implementation of proposed and final rules promulgated by the CFTC, SEC and NFA on swaps and security-based swaps; Oversee the Volcker Rule and French Banking Law compliance program in the Americas region. Report and escalate to senior management; regulatory developments, progress on regulatory initiatives, issues, violations or other matters of interest. Candidate SuccessFactors: Candidates are measured on the following four performance drivers, which will...

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 senior 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 business and customer needs in a manner consistent with the Citi program framework. Responsibilities: Writing regulatory closure documentation to demonstrate the risk reduction of work completed as part of the Regulations Management consent order. Complete quality reviews of consent order documentation. Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM, specifically for Regulations Management...

Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) focused on the Prime Brokerage and Stock Loan businesses 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 function/business/product 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 function/business/product and the associated regulatory rules/laws and interpretation on internal...

Serves as a senior function/business/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 function/business/product 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 function/business/product and the associated regulatory rules/laws and interpretation on internal policies and procedures. Responsibilities: Designing,...

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...

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: Key advisor to business groups (IB Advisory and...

Serves as a compliance testing officer for Independent Compliance Risk Management (ICRM)'s Independent Assessment team responsible for assessing significant compliance risks and controls implemented by the first and second line of defense. Also responsible for performing independent testing activities to assess the design and effectiveness of key controls designed to address compliance risks; reporting and escalating control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues. Key Activities include: Developing, implementing, and executing compliance testing and reporting programs in accordance with the Compliance Independent Assessment Plan. Participating in the planning, executing, and reporting of compliance testing reviews and compliance and regulatory issue validation in accordance with Compliance Independent Assessment (CIA) Plan for commodities, currencies and sales portfolio. Analyzing 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....

Jordan Park provides investment management and financial advice to a distinct community of individuals, families, and institutions. Our clients have made extraordinary contributions to business, philanthropy, government, and society. Our team is composed of empathetic problem solvers with depth and diversity of experience. We embrace complexity and navigate challenges to empower clients to achieve their optimal outcomes. Our mission is to enhance lives and legacies. Vice President, Compliance New York, New York We are looking for an exceptional compliance professional to support the growth of our multi-family office and investment advisory firm based in San Francisco, New York and Portsmouth, New Hampshire. This position will be based in New York. This is an opportunity to work within the Compliance team led by the Chief Compliance Officer who is based on San Francisco. The Compliance team works closely with our partners across the advisory and investment businesses, within a...