Current jobs related to VP, Surveillance Compliance Officer - New York - Partnership Employment
-
Surveillance Compliance Officer
3 months ago
New York, United States Hamlyn Williams Full timeSurveillance Compliance OfficerNew York, NY – Hybrid Hamlyn Williams have partnered with a global financial services platform, based in New York, NY, that are looking to hire a Surveillance Compliance officer.This role is on a hybrid basis three days per-week on site. If you are not able to work on site, please do not apply.As a Surveillance Compliance...
-
Surveillance Compliance Officer
3 months ago
New York, United States Hamlyn Williams Full timeSurveillance Compliance OfficerNew York, NY – Hybrid Hamlyn Williams have partnered with a global financial services platform, based in New York, NY, that are looking to hire a Surveillance Compliance officer.This role is on a hybrid basis three days per-week on site. If you are not able to work on site, please do not apply.As a Surveillance Compliance...
-
Compliance Surveillance Consultant
4 weeks ago
New York, New York, United States Michael Page Full timeContract Role located in Midtown New York City.Contract until the end of the year, offering a competitive pay rate. About Our Client Our client is a major international banking institution located in Midtown New York City, providing a comprehensive range of financial services, including corporate and investment banking, asset management, and specialized...
-
Market Risk Valuation
4 weeks ago
New York, United States Santander Full timeMarket Risk Valuation & Market Surveillance- Associate / VP Country: United States of America Santander Capital Markets is looking for a Market Risk Valuation & Market Surveillance-Associate/VP Solid knowledge of financial instruments, markets, trading and clearing practices. Knowledge of Equities, indices and options - In depth experience with...
-
Advisory & Surveillance Compliance Manager
2 months ago
New York, United States DAIWA CAPITAL MARKET Full timeJob DescriptionJob DescriptionDaiwa Capital Markets America Inc. (“DCMA”), was incorporated in 1964. DCMA is a New York-based registered securities broker-dealer, a futures commission merchant, a primary dealer of U.S. Treasury securities, and a member of the New York Stock Exchange and other major U.S. exchanges. Our main focus is on the sales and...
-
Surveillance Officer
5 hours ago
New Cumberland, West Virginia, United States Mountaineer Casino Resort Full timeJob SummaryWe are seeking a highly skilled Surveillance Officer to join our team at Mountaineer Casino Resort. As a Surveillance Officer, you will be responsible for monitoring video feeds and ensuring the security and integrity of our resort.Key ResponsibilitiesMonitor video feeds from various cameras throughout the resort to detect and prevent suspicious...
-
Compliance Officer
7 days ago
New York, United States Cardea Group Full timeCompliance Officer – Trade Compliance and Generalist (New York, NY): Our client a Hedge Fund with over $2B in AUM is seeking a Compliance professional to join their growing legal and compliance team. This new hire will be reporting to the Chief Compliance Officer and be the go to compliance resource in the New York Office. Key Points: Role is newly created...
-
Compliance Officer
7 days ago
New York, United States Cardea Group Full timeCompliance Officer – Trade Compliance and Generalist (New York, NY): Our client a Hedge Fund with over $2B in AUM is seeking a Compliance professional to join their growing legal and compliance team. This new hire will be reporting to the Chief Compliance Officer and be the go to compliance resource in the New York Office. Key Points: Role is newly created...
-
Compliance Officer
7 days ago
new york city, United States Cardea Group Full timeCompliance Officer – Trade Compliance and Generalist (New York, NY): Our client a Hedge Fund with over $2B in AUM is seeking a Compliance professional to join their growing legal and compliance team. This new hire will be reporting to the Chief Compliance Officer and be the go to compliance resource in the New York Office. Key Points: Role is newly created...
-
Compliance Officer
1 month ago
New York, United States Cardea Group Full timeCompliance Officer (New York, NY): Our client, a global investment manager with over $30B in assets, has an exceptional opportunity for a mid-level compliance professional. This is an opportunity to report into the Chief Compliance Officer and oversee the US compliance program for the firm's private equity platform, while also collaborating with the credit...
-
Anti - Money Laundering Compliance Officer
1 month ago
New York, United States National Bank of Canada Full timeAs an Anti-Money Laundering Compliance Officer, you will be responsible for overseeing and managing the Firm’s AML, BSA, and OFAC compliance programs.The candidate must possess an in-depth understanding of AML requirements driven by FINRA, SEC, MSRB, OCC, and blue-sky regulations.Oversee the Firm’s BSA/AML/OFAC Program by establishing, implementing, and...
-
Vice President Compliance
2 weeks ago
New York, United States Cardea Group Full timeVP, Compliance – Asset Based Finance (New York, NY): Our client, a $50B multi-strat fund with an international reach, is looking for a dedicated compliance professional to sit in a newly established position. Acting as a generalist and with a focus on supporting the asset-based finance group, the VP will manage key compliance-related projects and...
-
Vice President Compliance
2 weeks ago
New York, United States Cardea Group Full timeVP, Compliance – Asset Based Finance (New York, NY): Our client, a $50B multi-strat fund with an international reach, is looking for a dedicated compliance professional to sit in a newly established position. Acting as a generalist and with a focus on supporting the asset-based finance group, the VP will manage key compliance-related projects and...
-
Compliance Officer
4 weeks ago
New York, United States Cardea Group Full timeCompliance Officer (New York, NY): Our client, a global investment manager with over $30B in assets, has an exceptional opportunity for a mid-level compliance professional. This is an opportunity to report into the Chief Compliance Officer and oversee the US compliance program for the firm's private equity platform, while also collaborating with the credit...
-
Anti - Money Laundering Compliance Officer
1 month ago
New York, New York, United States National Bank of Canada Full timeAs an Anti-Money Laundering Compliance Officer, you will be responsible for overseeing and managing the Firm's AML, BSA, and OFAC compliance programs.The candidate must possess an in-depth understanding of AML requirements driven by FINRA, SEC, MSRB, OCC, and blue-sky regulations.Oversee the Firm's BSA/AML/OFAC Program by establishing, implementing, and...
-
Communication Surveillance Associate
1 month ago
New York, United States North Bridge Staffing Group Full timeE-Communications Compliance Surveillance AssociateLegal & Compliance TeamThe Role: The Legal & Compliance Department protects by advising on ethical conduct, safeguarding reputation, and promoting a culture of Compliance.Associate candidates will work within our electronic surveillance team based in the New York office. This newly formed team will help...
-
Communication Surveillance Associate
4 weeks ago
New York, United States North Bridge Staffing Group Full timeE-Communications Compliance Surveillance AssociateLegal & Compliance TeamThe Role: The Legal & Compliance Department protects by advising on ethical conduct, safeguarding reputation, and promoting a culture of Compliance.Associate candidates will work within our electronic surveillance team based in the New York office. This newly formed team will help...
-
Compliance Team Lead
3 days ago
New York, New York, United States Guggenheim Partners Full timeJob SummaryGuggenheim Partners is seeking a highly motivated and self-directed professional to join its Compliance team as a VP, Control Room. This role presents an opportunity to grow in a fast-paced organization while supporting a critical function that protects our clients' interests.Key ResponsibilitiesMonitor and manage the Firm's information barriers...
-
VP - Investment Banking Compliance Advice
2 days ago
New York, United States Larson Maddox Full timeVP - Investment Banking Compliance Advice Our client, one of Europe's largest banking groups, is looking to hire an experienced Compliance professional at a Senior Manager / senior Vice President level to provide specialist Compliance advice and guidance to senior leaders and key members of the firms growing Investment Banking business with a focus on Equity...
-
Vice President Compliance
6 days ago
new york city, United States Cardea Group Full timeVP, Compliance – Asset Based Finance (New York, NY): Our client, a $50B multi-strat fund with an international reach, is looking for a dedicated compliance professional to sit in a newly established position. Acting as a generalist and with a focus on supporting the asset-based finance group, the VP will manage key compliance-related projects and...
VP, Surveillance Compliance Officer
1 month ago
Bank is looking to hire a VP, Surveillance Compliance Officer covering employee surveillance.
Responsibilities will include:
- Assist with e-communications review and surveillance to detect any Compliance policy breaches
- Serve as lead Compliance Officer responsible for the oversight and monitoring of personal and related trading accounts maintained by employees.
- Serve as lead Compliance Officer responsible for reviewing and approving, employee outside business activities and private investments requests.
- Provide employees Compliance guidance relevant to policies and regulatory requirements on personal account trading, private investments, and outside business activities.
- Conduct daily surveillance of employee personal account trading, outside business activities and private investments. Daily responsibilities would include, evaluating exceptions, raising breaches, preparing management reportingly, liaising with broker dealers maintaining accounts for employees and administering the annual compliance certification.
- Collaborate with regional and global colleagues across departments to design and implement program enhancements, review new or amended Industry regulations and best practices.