Compliance Jobs in New York

Job Title	Company Name	Location	Posted Date
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Control Room Compliance Officer (Ref: 100305-KD-18)	Credit Suisse	Americas, United States	03/04/2010
see details hide details Job Description •Assist the Equity and Fixed Income Research, Investment Banking, Private Equity and Capital Markets departments in dealing with compliance related issues and preserving the Information Barriers.•Maintain the Watch and Restricted Lists (i.e., obtaining updates from Investment Banking and Capital Markets personnel).•Review Equity and Fixed Income Research reports for...
Compliance Director-Product-10004603 (Ref: 100305-KD-10)	Citigroup	Americas, United States	03/04/2010
see details hide details Description The CCA Fixed Income compliance officer will assess the regulatory risks related to each of the fixed income trading desks, train and advise the desk personal regarding these regulatory issues, design and implement processes to monitor the trading of each these desks. The CCA business operates through registered investment adviser....
Compliance Officer-AML-10005253 (Ref: 100305-KD-04)	Citigroup	Americas, United States Long Island City	03/04/2010
see details hide details Description * Manage a caseload of investigations, perform analysis and follow-up, and work cases to completion according to internal Citi AML procedures and process. * Responsible for the appropriate collection and examination of financial statements and documents to assist in identifying unusual transaction patterns. * Conduct research over available Bank...
Senior Compliance Officer-AML-10005256 (Ref: 100305-KD-03)	Citigroup	Americas, United States Long Island City	03/04/2010
see details hide details Description * Manage a team of AML Analysts conducting investigations according to internal Citi AML procedures and process . * Oversee the appropriate collection and examination of financial statements and documents to assist in identifying unusual transaction patterns. * Conduct research over available Bank systems, the Internet and Databases consistent...
VP, ICG Tech Continuity of Business (CoB) Compliance Officer-10005494 (Ref: 100305-KD-01)	Citigroup	Americas, United States	03/04/2010
see details hide details Description POSITION DESCRIPTION The CoB Compliance Officer will help support one or more CoB programs and act as a point-of-contact for COB related activity within ICG Tech. CoB Control Officers are primarily responsible for mitigating CoB risk, monitoring processes and ensuring that standards are adhered to throughout the organization. The role...
Alternative Investments Senior Compliance Officer (Ref: 100226-KD-22)	Credit Suisse	Americas, United States	02/25/2010
see details hide details Job Description Role Summary:Administer and oversee all aspects for the firm’s AM Alternative Investment businesses and investment advisory activities.Role Involves:This person will be responsible for Compliance oversight of all aspects of a particular business line or department.Expected to interface with central compliance teams as appropriate such as Control Room for...
Control Room Compliance Officer (Ref: 100226-KD-18)	Credit Suisse	Americas, United States	02/25/2010
see details hide details Job Description •Assist the Equity and Fixed Income Research, Investment Banking, Private Equity and Capital Markets departments in dealing with compliance related issues and preserving the Information Barriers.•Maintain the Watch and Restricted Lists (i.e., obtaining updates from Investment Banking and Capital Markets personnel).•Review Equity and Fixed Income Research reports for...
Compliance Director-Product-10004603 (Ref: 100226-KD-02)	Citigroup	Americas, United States	02/25/2010
see details hide details Description The CCA Fixed Income compliance officer will assess the regulatory risks related to each of the fixed income trading desks, train and advise the desk personal regarding these regulatory issues, design and implement processes to monitor the trading of each these desks. The CCA business operates through registered investment adviser....
Alternative Investments Senior Compliance Officer (Ref: 100219-KD-25)	Credit Suisse	Americas, United States	02/18/2010
see details hide details Job Description Role Summary:Administer and oversee all aspects for the firm’s AM Alternative Investment businesses and investment advisory activities.Role Involves:This person will be responsible for Compliance oversight of all aspects of a particular business line or department.Expected to interface with central compliance teams as appropriate such as Control Room for...
Control Room Compliance Officer (Ref: 100219-KD-18)	Credit Suisse	Americas, United States	02/18/2010
see details hide details Job Description •Assist the Equity and Fixed Income Research, Investment Banking, Private Equity and Capital Markets departments in dealing with compliance related issues and preserving the Information Barriers.•Maintain the Watch and Restricted Lists (i.e., obtaining updates from Investment Banking and Capital Markets personnel).•Review Equity and Fixed Income Research reports for...