Compliance Specialist

3 weeks ago


New York, United States Global Commodities Trading Company Full time

Global Metals Trading Firm located in Midtown Manhattan is seeking a Compliance Specialist to add to their growing team. They will train an individual who has 1-2 years work experience and is a self starter and very detailed for research and has excellent writing skills. This is not a KYC or AML Banking Compliance position.


Summary:

This position reports directly to the CEO of the Company and will be primarily responsible for assisting with and enforcing internal written policies and procedures, the Commodities Futures Trading Commission (CFTC)/National Futures Association(NFA) rules and regulations and other applicable laws, and suitability of applications and supporting documentation. Will assist in responding to inquiries and developing policies and procedures to ensure firm-wide and/or group-wide compliance with applicable rules and regulations and requirements.


Job Responsibilities:

1. Assist in monitoring trading activities in the office

2. Analysis on rules/regulations and updating policies and procedures

3. Maintenance of regulatory required information and documents


Qualifications:

Bachelors Degree required or equivalent combination of education and experience

Windows Office (Excel and Word), SUN Systems (preferred)

Strong Writing Skills

Detail Oriented, Time Management, Self Starter

**** THIS POSITION IS NOT AN AML OR KYC ROLE.



  • New York, United States WEST SIDE FEDERATION FOR SENIOR AND SUPPORTIVE HOUSING, INC. Full time

    Job DescriptionJob DescriptionJob DescriptionCompliance SpecialistSummary DescriptionReporting to the Assistant Director of Compliance, the chief responsibility for the Compliance Specialist is to assist in achieving quality compliance with the requirements of the WSFSSH’s external funders and regulators, thereby safeguarding WSFSSH’s assets and income...

  • Compliance Specialist

    7 hours ago


    New York, United States WEST SIDE FEDERATION FOR SENIOR AND SUPPORTIVE HOUSING, INC. Full time

    Job DescriptionJob DescriptionJob DescriptionCompliance SpecialistSummary DescriptionReporting to the Assistant Director of Compliance, the chief responsibility for the Compliance Specialist is to assist in achieving quality compliance with the requirements of the WSFSSH’s external funders and regulators, thereby safeguarding WSFSSH’s assets and income...


  • New York, New York, United States Archstone Builders LLC Full time

    Legal Compliance Specialist, New York, NY Archstone Builders LLC, one of the leading construction mgmt firms, is seeking candidates for a Legal Compliance Specialist position to consult with legal counsel & report to mgmt on compliance matters; monitor, research & analyze local, city, state & fed laws & regs for compliance & of changes that require...


  • New York, New York, United States Archstone Builders LLC Full time

    Legal Compliance Specialist, New York, NY Archstone Builders LLC, one of the leading construction mgmt firms, is seeking candidates for a Legal Compliance Specialist position to consult with legal counsel & report to mgmt on compliance matters; monitor, research & analyze local, city, state & fed laws & regs for compliance & of changes that require...

  • Compliance Specialist

    8 hours ago


    New York, United States Services For The Underserved, Inc. Full time

    Min: USD $62,400.00/Yr. Max: USD $67,500.00/Yr. Position Overview: - ** SCOPE OF ROLE**: The Support Services functions at S:US are carried out by a team of professionals with differing backgrounds who share deeply in the S:US mission. We provide resources and support to the program departments to collectively pursue that mission. Support Services is a...


  • New York, United States Healthcare Enterprise Full time

    Job DescriptionJob DescriptionThe Compliance Specialist oversees the Compliance Program for the Home Care agency, ensuring adherence to local, state laws, and regulations outlined by the New York State Department of Health, Office of Medicaid Inspector General, and company policies. This role includes the continual implementation of the Code of Conduct and...

  • Compliance Specialist

    3 weeks ago


    New York, United States Global Commodities Trading Company Full time

    Global Metals Trading Firm located in Midtown Manhattan is seeking a Compliance Specialist to add to their growing team. They will train an individual who has 1-2 years work experience and is a self starter and very detailed for research and has excellent writing skills. This is not a KYC or AML Banking Compliance position. Summary: This position reports...

  • Compliance Specialist

    3 hours ago


    New York, United States Global Commodities Trading Company Full time

    Global Metals Trading Firm located in Midtown Manhattan is seeking a Compliance Specialist to add to their growing team. They will train an individual who has 1-2 years work experience and is a self starter and very detailed for research and has excellent writing skills. This is not a KYC or AML Banking Compliance position. Summary: This position reports...

  • Compliance Specialist

    2 weeks ago


    New York, United States Global Commodities Trading Company Full time

    Global Metals Trading Firm located in Midtown Manhattan is seeking a Compliance Specialist to add to their growing team. They will train an individual who has 1-2 years work experience and is a self starter and very detailed for research and has excellent writing skills. This is not a KYC or AML Banking Compliance position. Skills, Experience,...

  • Compliance Specialist

    3 weeks ago


    New York, United States Global Commodities Trading Company Full time

    Global Metals Trading Firm located in Midtown Manhattan is seeking a Compliance Specialist to add to their growing team. They will train an individual who has 1-2 years work experience and is a self starter and very detailed for research and has excellent writing skills. This is not a KYC or AML Banking Compliance position. Summary:This position reports...

  • Compliance Specialist

    16 hours ago


    New York, United States Global Commodities Trading Company Full time

    Global Metals Trading Firm located in Midtown Manhattan is seeking a Compliance Specialist to add to their growing team. They will train an individual who has 1-2 years work experience and is a self starter and very detailed for research and has excellent writing skills. This is not a KYC or AML Banking Compliance position. Summary:This position reports...

  • Compliance Specialist

    1 month ago


    New York, United States MMC Corporate Full time

    Mercer, a place where extraordinary individuals can do their best work and lead their best lives! We believe in camaraderie and collaboration, no matter what your role, level, experience or background. **Compliance Specialist** **What can you expect?** - The team at Mercer will prepare you for a successful career and provide you the opportunity to work...


  • New York, United States Larson Maddox Full time

    A well established Utilities company is looking to add on a Ethics and Compliance specialist to their Ethics and Compliance investigation team. This position will engage with different departments to foster trust, mitigate risks, uphold ethical business practices, develop policies and procedures, conduct training, and facilitate communication on ethics and...


  • New York, United States NYC Health Hospitals Full time

    MetroPlusHealth provides the highest quality healthcare services to residents of Bronx, Brooklyn, Manhattan, Queens and Staten Island through a comprehensive list of products, including, but not limited to, New York State Medicaid Managed Care, Medicare, Child Health Plus, Exchange, Partnership in Care, MetroPlus Gold, Essential Plan, etc. As a wholly-owned...


  • New York, United States NYC Health Hospitals Full time

    MetroPlusHealth provides the highest quality healthcare services to residents of Bronx, Brooklyn, Manhattan, Queens and Staten Island through a comprehensive list of products, including, but not limited to, New York State Medicaid Managed Care, Medicare, Child Health Plus, Exchange, Partnership in Care, MetroPlus Gold, Essential Plan, etc. As a wholly-owned...


  • New York, United States MetroPlusHealth Full time

    Job DescriptionJob DescriptionEmpower. Unite. Care.MetroPlusHealth is committed to empowering New Yorkers by uniting communities through care. We believe that Health care is a right, not a privilege. If you have compassion and a collaborative spirit, work with us. You can come to work being proud of what you do every day.About NYC Health +...


  • New York, United States MetroPlusHealth Full time

    Empower. Unite. Care.MetroPlusHealth is committed to empowering New Yorkers by uniting communities through care. We believe that Health care is a right, not a privilege. If you have compassion and a collaborative spirit, work with us. You can come to work being proud of what you do every day.About NYC Health + HospitalsMetroPlusHealth provides the highest...


  • New York, New York, United States MMC Corporate Full time

    Mercer, a place where extraordinary individuals can do their best work and lead their best lives We believe in camaraderie and collaboration, no matter what your role, level, experience or background.Mercer is seeking candidates for the following position based in the New York(preferred) or Boston office:Compliance SpecialistWhat can you expect? The team at...

  • Compliance Specialist

    19 hours ago


    New York, New York, United States MMC Corporate Full time

    Mercer, a place where extraordinary individuals can do their best work and lead their best lives We believe in camaraderie and collaboration, no matter what your role, level, experience or background.Mercer is seeking candidates for the following position based in the New York(preferred) or Boston office:Compliance SpecialistWhat can you expect? The team at...


  • New York, United States Sun River Health Full time

    Sun River Health provides the highest quality of comprehensive primary, preventative and behavioral health services to all who seek it, regardless of insurance status and ability to pay, especially for the underserved and vulnerable. Sun River Health is a Federally Qualified, Non-Profit Health Center serving communities in Suffolk, Rockland, Orange, Duchess,...