COMPLIANCE OFFICER jobs in CITY OF YORK, United Kingdom

, U.S. Chief Compliance Officer (CCO) Location: New York, NY Setting: In Office Reports to title: EVP, Chief Compliance Officer... The Team You Will Join Compliance Risk Management (CRM) delivers a compliance risk framework that enables the businesses...

The Compliance Officer will ensure the bank operates in compliance with federal and state regulations by developing... Officer will be responsible for the following: Establish and maintain the bank's Compliance Management System (CMS). Ensure...

Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance Risk Management (ICRM... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day...

of Role We are seeking a Vice President level Chief Compliance Officer attorney to provide support and advice to our Redburn... to provide legal support to Rothschild & Co’s North American Five Arrows business, as may be needed. The Chief Compliance Officer...

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day...

Job Purpose Compliance officer that will be responsible for supporting the local compliance program and related... Assist with the development of specific aspects of a compliance program related to the operation of an SEC Registered...

Compliance officer to join their team in New York. The role will primarily focus on Surveillance (Trade Activity...)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to a wider range of compliance activities...

Job Purpose Compliance officer that will be responsible for supporting the local compliance program and related... Assist with the development of specific aspects of a compliance program related to the operation of an SEC Registered...

Compliance officer to join their team in New York. The role will primarily focus on Surveillance (Trade Activity...)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to a wider range of compliance activities...

more we all gain. About the role We are looking for a diligent Compliance Officer to join the rapidly growing team of our US broker..., and passionate about continuously increasing your regulatory knowledge. You will: Provide support to the Chief Compliance Officer...

Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM... program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance...

Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance Risk Management (ICRM). Specific... in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk...

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day...

Job Summary: We are seeking an experienced and dedicated Deputy Compliance Officer to join our team. The... successful candidate will report directly to the Chief Compliance Officer (CCO) and will be responsible for assisting in the development...

by FINRA, SEC, MSRB, OCC, and blue-sky regulations. Additionally, the compliance officer should be able to: Beinformed... activity report of the AML compliance officer and obtain interim reports more frequently for higher risk activities...

of benefits to its employees. Role Description The successful candidate will serve as the Chief Compliance Officer (CCO...) and be responsible for leading all components of the compliance program for an investment advisory firm in Manhattan, which is currently...

Requisition ID: req52161 Job Title: Program Officer, Monitoring & Compliance Sector: Monitoring & Evaluation..., NY HQ USA Work Arrangement: Hybrid Job Description Job Overview: The Program Officer, Monitoring and Compliance...