Compliance Manager Jobs in Hartsdale, NY
A Compliance Manager in the finance industry is primarily responsible for ensuring that the organization is in compliance with all internal and external rules, regulations, and standards. This includes establishing and maintaining systems for compliance, educating and training employees on compliance related matters, monitoring compliance systems, and advising management on possible risks. They also conduct regular audits and assessments to verify the effectiveness of the company's compliance controls and policies.
The role requires a strong understanding of financial legislation and regulatory standards, excellent communication skills, and a keen eye for detail. Relevant certifications such as Certified Regulatory Compliance Manager (CRCM), Certification in Control Self-Assessment (CCSA), or Certified Anti-Money Laundering Specialist (CAMS) are highly beneficial. Before becoming a Compliance Manager, one might have roles such as Compliance Analyst, Risk Management Officer, or Legal Counsel in the finance industry.
Manager, Compliance - Trade Surveillance
- New York, NY (20 miles from Hartsdale, NY)
- 2 hours ago
- New York, NY (20 miles from Hartsdale, NY)
- 2 hours ago
In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank....
- New York City, NY (23 miles from Hartsdale, NY)
- 1 day ago
- New York City, NY (23 miles from Hartsdale, NY)
- 1 day ago
The role: The Compliance Manager - Communications with the Public will lead a team of five Compliance professionals and will focus on marketing and advertising compliance across SoFi's diverse product...
Accounting & Compliance Manager
- Port Chester, NY (7 miles from Hartsdale, NY)
- 4 days ago
- Port Chester, NY (7 miles from Hartsdale, NY)
- 4 days ago
Coordinate with the Financial Planning & Analysis (FP&A) team to prepare and analyze budgets, forecasts, and actual-to-budget comparisons for tax, insurance, and licensing....
- New York, NY (20 miles from Hartsdale, NY)
- 4 days ago
- New York, NY (20 miles from Hartsdale, NY)
- 4 days ago
, Financial analyst, Financial planning & analysis, Fund accountant Sector Accounting - Public practice, Banking and financial services Contract type Permanent Hours Full time Experience level Manager...
Managing Director, Compliance & Regulatory Risk Assessment
- Jericho, NY (20 miles from Hartsdale, NY)
- 5 days ago
- Jericho, NY (20 miles from Hartsdale, NY)
- 5 days ago
Educations, Skills & Experience: Bachelor's or advanced degree required 10+ years of experience in compliance or risk management ABA Certified Regulatory Compliance Manager (CRCM) Certified Enterprise...
Manager - Compliance; Fair Lending
- New York, NY (20 miles from Hartsdale, NY)
- 5 days ago
- New York, NY (20 miles from Hartsdale, NY)
- 5 days ago
Preferred Qualifications JD or Certified Regulatory Compliance Manager (CRCM) designation. Experience working in a large financial institution or experience as a bank regulatory examiner....
Audit Manager: Compliance (Hybrid)
- New York, NY (20 miles from Hartsdale, NY)
- 7 days ago
- New York, NY (20 miles from Hartsdale, NY)
- 7 days ago
Manager (CRCM) or a relevant certification 6 + years of experience in auditing one of the following areas: consumer compliance, banking or financial services industry, risk management. 6+ years of...
- New York, NY (20 miles from Hartsdale, NY)
- 7 days ago
- New York, NY (20 miles from Hartsdale, NY)
- 7 days ago
As the Risk and Compliance Manager you will have experience with sanctions screening and ensuring compliance with relevant regulations....
- New York, NY (20 miles from Hartsdale, NY)
- 8 days ago
- New York, NY (20 miles from Hartsdale, NY)
- 8 days ago
Job Description: Regulatory Compliance Manager Joining our Financial Services Consulting practice is an opportunity to help make the world more honest, transparent, safe, and secure....
Swap Dealer Compliance Officer- Director - Compliance - New York, New York, United States
- New York, NY (20 miles from Hartsdale, NY)
- 17 days ago
- New York, NY (20 miles from Hartsdale, NY)
- 17 days ago
Responsibilities Recommend and implement changes to the Societe Generale (SG) Swap Dealer (SD) and Security-based Swap Dealer (SBSD) Compliance Programs, including relevant policies, procedures...
VP Compliance Risk Project Manager/Front Office Risk & Compliance Manager (VP/AVP)
- New York, NY (20 miles from Hartsdale, NY)
- 18 days ago
- New York, NY (20 miles from Hartsdale, NY)
- 18 days ago
VP Compliance Risk Project Manager/Front Office Risk & Compliance Manager (VP/AVP) Immediate need for a talented VP Compliance Risk Project Manager/Front Office Risk & Compliance Manager (VP/AVP) ....
- New York, NY (20 miles from Hartsdale, NY)
- 20 days ago
- New York, NY (20 miles from Hartsdale, NY)
- 20 days ago
About us: Ether.fi is an innovative, rapidly growing crypto-native financial platform on a mission to put users in control of their wealth-making it easy to save, earn, and spend crypto....
- New York, NY (20 miles from Hartsdale, NY)
- 20 days ago
- New York, NY (20 miles from Hartsdale, NY)
- 20 days ago
We are seeking an experienced Regulatory Compliance Manager to join our team and oversee critical compliance functions across our organization....
- Valhalla, NY (5 miles from Hartsdale, NY)
- 20 days ago
- Valhalla, NY (5 miles from Hartsdale, NY)
- 20 days ago
The Regional Manager, Compliance reports to the VP, Compliance in the implementation and evaluation of Westchester Medical Center Health Network Compliance Program, specifically the WMC Health...
Manager, Compliance Advertising
- New York, NY (20 miles from Hartsdale, NY)
- 20 days ago
- New York, NY (20 miles from Hartsdale, NY)
- 20 days ago
The Compliance Manager will be part of the client solutions compliance team and will play an integral role in supporting client-facing activities for the public markets business....
Demographic Data for Hartsdale, NY
Moving to Hartsdale, NY? Find some basic demographic data about Hartsdale, NY below.
Compliance Manager Online Courses and Training Opportunities
Salary for Compliance Manager Jobs in Hartsdale, NY
Required or preferred licenses and certifications for Compliance Manager positions.
Highest Education Level
Compliance Managers in Hartsdale, NY offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Manager position
- Annuities
- Know Your Customer
- OFAC
- Private Banking
- Equity Research
- Tax Accounting
- Treasury
- BSA
- Internal Control
- Retirement Planning
- Equities
- Consumer Lending
- Employee Benefits
- Fixed Income
- Capital Markets
- Securities and Exchange Commission
- Lending
- Sarbanes-Oxley Compliance
- Financial Services
- Anti-Money Laundering
- Financial Reporting
- Business Processes
- Fraud Investigation
- Due Diligence
- Fundraising
- Resolution
- Finance
- Reimbursement
- Accounting
- Change Management
- Risk Management
- Strategy Development
- Implementation
- Analytical Skills
- Auditing
- Investigation
- Presentation
- Verbal Communication
- Education Experience
- Collaboration
- Flexibility
- Reporting
- Documentation
- Budgets
- Coaching
- Bachelor's Degree
- Regulations
- Policy Development
- Project Management
- Problem Solving
- Sales
- Microsoft Excel
- Research Skills
- Staff Supervision
- Organization
- Scheduling
- Leadership
- Communication Skills
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