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Compliance Officer Jobs In United States

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Search results: 1 - 10 of 88

Compliance Officer (993366993)

100%

Robert Half International. New york

Robert Half Financial Services is recruiting for a Compliance Officer... The Compliance Officer should have 3 plus years experience in corporate & investment banking areas... The Compliance Officer will review trade reports and escalate errors and issues that require attention... The Compliance Officer will also research new rules and developments...

Sector Asset Management
Employment Type Full Time
Region/Country Americas, United States

Group Retirement Plan Compliance Officer (Location Flexible) (019393)

94%

Bank of the West. Omaha

What sets Bank of the West apart from other banks is our team members-they embody the optimistic spirit of the West. There is a spirit here that drives us to do more. Our team of more than 10,000 employees is vital to the success of our Bank. They reflect our.

Sector Asset Management
Region/Country Americas, United States

Head of Electronic Trading Compliance (132906)

79%

UBS AG. New York

This individual will lead a team of dedicated compliance officers focused on electronic trading rules, regulations and procedures... While primarily focused upon US equities electronic trading, this team will have coordinating responsibility across all regions and product areas within the Investment Bank to serve as a center of excellence regarding.

Sector Asset Management
Employment Type Full Time
Region/Country Americas, United States

Compliance Officer (993391050)

77%

Robert Half International. New york

Robert Half Financial Services is recruiting for an experienced Compliance Officer for a well-recognized Asset Management firm in New York... The Compliance Officer will have experience with SEC and FINRA rules and regulations, knowledge of the 1940 Act and Compliance testing... Duties & Responsibilities: - Aids Chief Compliance Officer and...

Sector Asset Management
Employment Type Full Time
Region/Country Americas, United States

Senior Associate - Compliance Officer (993391918)

74%

Robert Half International. New york

Robert Half Financial Services is recruiting for a Compliance Officer with experience at an Asset Management firm... The Compliance Officer will review sales literature and marketing materials for various funds and accounts... Compliance will work very closely with the Business Development team... o Compliance Officer will review and analyze sales...

Sector Asset Management
Employment Type Full Time
Region/Country Americas, United States

Sec Compliance Manager/director (340112022)

62%

Robert Half International. Iselin

A global foreign exchange services firm located in the Iselin area has an exciting opportunity for a Compliance Officer... The Chief Compliance Officer will primarily be responsible for ensuring compliance with all outside regulatory requirements as well as internal policies and procedures... This position will assist to establish, communicate and.

Sub Sector Non-Financial Corporate
Employment Type Full Time
Region/Country Americas, United States

Compliance Officer (1945146014)

57%

Robert Half International. San francisco - north bay

A local financial institution is looking for an experienced Compliance Officer to join their Compliance Team! The ideal candidate will be responsible for developing, implementing and administrating an effective Compliance Management Program... The program enables the bank to achieve ongoing compliance with applicable banking laws, rules and regulations promulgated by...

Sector Asset Management
Employment Type Full Time
Region/Country Americas, United States

Equities Compliance Officer (120738)

56%

UBS AG. New York

As a Financial & Operations Compliance Officer, you will be responsible for examining policies, procedures and controls across the Financial and Operations areas, conduct in-depth reviews, and investigate potential regulatory violations and control deficiencies... In the process, you will collaborate extensively with Finance and Operations management teams, product compliance officers...

Sector Asset Management
Employment Type Full Time
Region/Country Americas, United States

Compliance Officer III (Information Security) (018465)

55%

Bank of the West. Omaha

What sets Bank of the West apart from other banks is our team members-they embody the optimistic spirit of the West. There is a spirit here that drives us to do more. Our team of more than 10,000 employees is vital to the success of our Bank. They reflect our.

Sector Asset Management
Region/Country Americas, United States

Chief Compliance Officer - BWIS Investment Advisory (019318)

55%

Bank of the West. San Francisco

What sets Bank of the West apart from other banks is our team members-they embody the optimistic spirit of the West. There is a spirit here that drives us to do more. Our team of more than 10,000 employees is vital to the success of our Bank. They reflect our.

Sector Asset Management
Region/Country Americas, United States
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