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.
Job Summary: The Director of Compliance reports to the VP, Compliance in the implementation and evaluation of Westchester Medical Center Health Network Compliance Program, specifically the WMC...
Description 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,...
Work Location: Mount Laurel, New Jersey, United States of America Hours: 40 Pay Details: $86,840 - $139,360 USD TD is committed to providing fair and equitable compensation opportunities to all...
Certified Regulatory Compliance Manager (CRCM) or Certified Internal Auditor (CIA) certification strongly preferred....
Director - Compliance (Regulatory Change Management)
- 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...
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 Employee Experience Manager (Compliance Governance & Operations Manager)
- New York, NY
- 5 days ago
- New York, NY
- 5 days ago
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...
Compliance Manager, Transaction Monitoring
- New York City, NY
- 6 days ago
- New York City, NY
- 6 days ago
Position Summary: The Compliance Manager at FalconX will be responsible for conducting complex investigations into potentially suspicious activities involving cryptocurrency products, traditional brokerage...
Director, Compliance - US Markets Global Transaction Banking Compliance Advisory, TD Securities
- New York, NY
- 7 days ago
- New York, NY
- 7 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....
Key Responsibilities - Lead modernization of compliance screening technology platforms like Prime Compliance Manager, FIRCO, and related systems - Architect and execute cloud transformation with complete...
Compliance Risk Assessment Manager Compliance Risk Assessment Manager
- New York, NY
- 7 days ago
- New York, NY
- 7 days ago
Compliance Risk Assessment Manager TD Bank 4.1 ( ) Multiple Locations Why you should apply for a job to TD Bank : Ranked as one of the 4.1/5 in overall job satisfaction 4.8/5 in supportive...
- New York, NY
- 7 days ago
- New York, NY
- 7 days ago
Compliance- Identity and Access Management Technology, Operational Risk, Executive Director JPMorgan Chase 3.3 ( ) Multiple Locations Why you should apply for a job to JPMorgan Chase : Ranked as...
Compliance Manager, Trade Surveillance Initiatives & Portfolio Management, Electronic Communications - TD Securities (US) TD Bank 4.1 ( ) New York, NY Why you should apply for a job to TD Bank : Ranked...
Compliance Manager, Trade Surveillance - Portfolio Management & Surveillance Initiatives - TD Securities (US) TD Bank 4.1 ( ) New York, NY Why you should apply for a job to TD Bank : Ranked as one of...
- New York, NY
- 7 days ago
- New York, NY
- 7 days ago
Manager, Third-Party Risk Manager, Compliance Program Management (CPM) TD Bank 4.1 ( ) Multiple Locations (Remote) Why you should apply for a job to TD Bank : Ranked as one of the 4.1/5 in overall...
Remote WorkDemographic Data for New York
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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
- Certified Internal Auditor
- Know Your Customer
- Equity Research
- Tax Accounting
- Equities
- Loan Origination
- Derivatives
- Internal Control
- Management Reporting
- Ad Hoc Reporting
- BSA
- Fixed Income
- Capital Markets
- Securities and Exchange Commission
- Lending
- Financial Services
- Sarbanes-Oxley Compliance
- International Business
- Anti-Money Laundering
- Fraud Investigation
- Due Diligence
- Executive Management
- Resolution
- Finance
- Liaison
- Vendor Management
- Reimbursement
- Change Management
- Program Management
- Risk Management
- Strategy Development
- Accounting
- Implementation
- Auditing
- 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
- Teamwork
- Staff Supervision
- Organization
- Customer Service
- Scheduling
- Leadership
- Communication Skills
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