Compliance Manager Jobs in New York, 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.
Compliance Manager - Compliance Monitoring and Programs
- New York, NY
- 13 hours ago
- New York, NY
- 13 hours ago
The Compliance Manager - Compliance Monitoring Programs will lead and enhance our Compliance Management System (CMS) with a focus on loan performance and servicing....
Work Location: New York, New York, United States of America Hours: 40 Pay Details: $110,760 - $178,880 USD TD is committed to providing fair and equitable compensation opportunities to all...
Work Location: New York, New York, United States of America Hours: 40 Pay Details: $119,600 - $178,880 USD TD is committed to providing fair and equitable compensation opportunities to all...
Work Location: New York, New York, United States of America Hours: 40 Pay Details: $119,600 - $178,880 USD TD is committed to providing fair and equitable compensation opportunities to all...
Budgeting & Financial Planning • Own annual capital and operating budgets related to building systems. • Track expenses and forecast future capital needs for system upgrades or replacements. • Develop...
Job Description What is the Opportunity? This role provides proactive and direct support to Dodd-Frank and OTC Derivatives impacted businesses on a global basis to ensure compliance with rules and...
Work Location: New York, New York, United States of America Hours: 40 Pay Details: $200,000 - $280,000 USD TD is committed to providing fair and equitable compensation opportunities to all...
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and...
Senior Manager, Compliance Operations and ORM Programs (US)
- New York, NY
- 3 days ago
- New York, NY
- 3 days ago
Work Location: New York, New York, United States of America Hours: 40 Pay Details: $119,600 - $178,880 USD TD is committed to providing fair and equitable compensation opportunities to all...
As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world's investible assets. Every day, our teams harness cutting-edge AI...
Certified Regulatory Compliance Manager (CRCM) or similar professional certification preferred....
Prime Brokerage Compliance Manager, Vice President
- Jersey City, NJ (4 miles from New York, NY)
- 7 days ago
- Jersey City, NJ (4 miles from New York, NY)
- 7 days ago
Prime Brokerage Compliance Manager- Vice President Position Description: State Street Markets Compliance is seeking an experienced compliance professional to assist the Chief Compliance Officers (CCOs...
- Jersey City, NJ (4 miles from New York, NY)
- 9 days ago
- Jersey City, NJ (4 miles from New York, NY)
- 9 days ago
income sales and trading The Skills You Bring Your comprehensive understanding of securities markets, the brokerage business and applicable securities rules and regulations....
Compliance Director, Commercial, Operations and Securities Testing (US)
- New York, NY
- 9 days ago
- New York, NY
- 9 days ago
Work Location: Charlotte, North Carolina, United States of America Hours: 40 Pay Details: $200,000 - $280,000 USD TD is committed to providing fair and equitable compensation opportunities to all...
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and...
Demographic Data for New York, NY
Moving to New York, NY? Find some basic demographic data about New York, NY below.
Compliance Manager Online Courses and Training Opportunities
Salary for Compliance Manager Jobs in New York, NY
Required or preferred licenses and certifications for Compliance Manager positions.
Highest Education Level
Compliance Managers in New York, NY offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Manager position
- Certified Internal Auditor
- Know Your Customer
- Equity Research
- Technical Accounting
- Equities
- Derivatives
- Internal Control
- Management Reporting
- BSA
- Fixed Income
- Employee Benefits
- Capital Markets
- Securities and Exchange Commission
- Lending
- Sarbanes-Oxley Compliance
- Financial Services
- Anti-Money Laundering
- International Business
- Grant Management
- Fraud Investigation
- Business Processes
- Due Diligence
- Executive Management
- Resolution
- Finance
- Liaison
- Reimbursement
- Change Management
- Risk Management
- Strategy Development
- Implementation
- Auditing
- Accounting
- Written Communication
- Documentation
- Mentoring
- Verbal Communication
- Coaching
- Investigation
- Reporting
- Collaboration
- Flexibility
- Interpersonal Skills
- Bachelor's Degree
- Microsoft PowerPoint
- Policy Development
- Project Management
- Regulations
- Problem Solving
- Microsoft Excel
- Microsoft Office
- Research Skills
- Staff Supervision
- Organization
- Customer Service
- Scheduling
- Leadership
- Communication Skills
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