Compliance Manager Jobs in New York
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.
Current Employees of LendingClub: Please apply via your internal Workday Account LendingClub Corporation (NYSE: LC) is the parent company of LendingClub Bank, National Association, Member FDIC. We...
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Key Responsibilities - Lead modernization of compliance screening technology platforms like Prime Compliance Manager, FIRCO, and related systems - Architect and execute cloud transformation with complete...
Summary: We are seeking a Compliance Manager to join our team....
Director, Compliance - Registrations, Licensing, and Employee Conflicts, TD Securities
- New York, NY
- 3 days ago
- New York, NY
- 3 days 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....
Relevant audit and professional certifications (e.g., Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Regulatory Compliance Manager (CRCM))....
Director - Compliance; Learning, Development & Communications
- New York, NY
- 4 days ago
- New York, NY
- 4 days ago
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...
Job Summary: The Regional Manager, Compliance reports to the VP, Compliance in the implementation and evaluation of Westchester Medical Center Health Network Compliance Program, specifically the...
Compliance Manager - Compliance Monitoring and Programs
- New York, NY
- 5 days ago
- New York, NY
- 5 days ago
The Compliance Manager - Compliance Monitoring Programs will lead and enhance our Compliance Management System (CMS) with a focus on loan performance and servicing....
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...
Senor Compliance Manager - Compliance Monitoring & Programs
- New York, NY
- 6 days ago
- New York, NY
- 6 days ago
The Senior Compliance Manager - Compliance Monitoring Programs will lead and enhance our Compliance Management System (CMS) with a focus on loan performance and servicing....
Preferred Qualifications JD or Certified Regulatory Compliance Manager (CRCM) designation. Experience working in a large financial institution or experience as a bank regulatory examiner....
About the Role: The Client Contracts and Compliance Manager serves as Wunderkind's financial and legal stakeholder in managing our largest enterprise clients....
Sumitomo Pharma Co., Ltd. is a global pharmaceutical company based in Japan with key operations in the U.S. (Sumitomo Pharma America, Inc.), Canada (Sumitomo Pharma Canada, Inc.) and Europe...
Network Compliance Manager We are seeking a highly motivated and talented Local Governance Lead (LGOV) and chief of staff to the Discover Payment Network global compliance team and to serve as a chief...
Demographic Data for New York
Moving to New York? Find some basic demographic data about New York below.
Compliance Manager Online Courses and Training Opportunities
Salary for Compliance Manager Jobs in New York
Required or preferred licenses and certifications for Compliance Manager positions.
Highest Education Level
Compliance Managers in New York offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Manager position
- Lacrosse
- OFAC
- Athletic Administration
- Dodd-Frank
- Equity Research
- BSA
- Management Reporting
- Internal Control
- Securities and Exchange Commission
- Lending
- International Business
- Sarbanes-Oxley Compliance
- Financial Services
- Financial Reporting
- Anti-Money Laundering
- Business Processes
- Fraud Investigation
- Due Diligence
- Executive Management
- Resolution
- Performance Management
- Finance
- Change Management
- Accounting
- Risk Management
- Strategy Development
- Collections
- Analytical Skills
- Implementation
- Auditing
- Investigation
- Presentation
- Verbal Communication
- Collaboration
- Mentoring
- Flexibility
- Documentation
- Coaching
- Reporting
- Bachelor's Degree
- Employee Development
- Regulations
- Policy Development
- Project Management
- Problem Solving
- Microsoft Excel
- Research Skills
- Teamwork
- Staff Supervision
- Organization
- Customer Service
- Scheduling
- Leadership
- Communication Skills
Other Career Titles
Here are some other career titles that require similar skills
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