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Compliance officer United States, New York Jobs

5 Job Offers

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Executive Assistant - Chief Compliance Officer Americas
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Join Crédit Agricole CIB in New York as an Executive Assistant to the Chief Compliance Officer for the Americas. This key role requires 8+ years of executive support experience, fluency in French, and exceptional discretion. You will provide comprehensive administrative and logistical support, ma...
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United States Of America , NEW YORK
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90000.00 - 105000.00 USD / Year
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Crédit Agricole
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Until further notice
Chief Compliance Officer - Broker-Dealer and Registered Investment Advisor
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Lead securities compliance as Chief Compliance Officer for our RIA and Broker-Dealer. You will build and oversee our compliance programs, manage regulatory exams, and advise cross-functional teams. Requires 10+ years experience, a Series 24 license, and deep FINRA/SEC expertise. This role is base...
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United States , San Francisco; New York; Portland
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242700.00 - 303400.00 USD / Year
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Mercury
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Until further notice
Compliance - Reporting & Training Officer
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Join our Compliance team in New York as a Reporting & Training Officer. You will define and enhance the compliance reporting framework and execute the annual training plan. The role requires 5-7 years' experience, strong analytical skills in Excel/PowerPoint, and knowledge of banking regulations....
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United States Of America , NEW YORK
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140000.00 - 175000.00 USD / Year
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Crédit Agricole
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Until further notice
Compliance Risk Assessment Officer
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Join our dynamic compliance team in NEW YORK as a Compliance Risk Assessment Officer. You will design and execute the annual CRA/RCSA framework, providing key insights to senior management. This role requires 11+ years of banking compliance or audit experience and strong knowledge of FRB/DFS regu...
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United States Of America , NEW YORK
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140000.00 - 180000.00 USD / Year
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Crédit Agricole
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Until further notice
Aml / Ofac Compliance Officer / Advisory
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Join our Financial Security Advisory team in New York as an AML/OFAC Compliance Officer. You will review high-risk KYC files and provide critical regulatory guidance on transactions. The role requires 5-10 years of expertise in US AML/OFAC regulations and payment systems. A CAMS certification and...
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United States Of America , NEW YORK
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120000.00 - 150000.00 USD / Year
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Crédit Agricole
Expiration Date
Until further notice
Explore a world of opportunity in Compliance Officer jobs, a critical and growing field at the heart of modern business integrity. A Compliance Officer acts as an organization's ethical compass and regulatory shield, ensuring that all business activities adhere to the complex web of laws, industry regulations, and internal policies. This role is fundamental across numerous sectors, including finance, healthcare, technology, and manufacturing, making it a versatile and in-demand career path for detail-oriented professionals. Professionals in these jobs are primarily responsible for safeguarding their organization from legal penalties, financial loss, and reputational damage. Their day-to-day activities are diverse and vital. A core function involves the continuous monitoring of the regulatory landscape to stay abreast of new and amended laws. They then interpret these complex requirements and translate them into actionable business practices. This includes developing, implementing, and regularly updating robust internal compliance frameworks, policies, and procedures. Furthermore, Compliance Officers conduct regular internal audits and risk assessments to identify potential areas of vulnerability, proactively addressing gaps before they become significant issues. They are also typically tasked with leading efforts to prevent financial crime, such as money laundering and fraud. Beyond systems and processes, a significant part of the role focuses on people and culture. Compliance Officers design and deliver training programs to ensure all employees understand their regulatory obligations, thereby fostering a strong culture of ethics and compliance throughout the company. They serve as the key point of contact for regulatory bodies, managing examinations and responding to inquiries. Reporting on compliance status, emerging risks, and the effectiveness of the compliance program to senior management and the board of directors is another critical responsibility, influencing high-level strategic decisions. To succeed in Compliance Officer jobs, candidates typically need a strong educational background, often a bachelor's degree in law, finance, business administration, or a related field. Relevant professional certifications are highly valued and sometimes essential. Key skills include an analytical mindset for dissecting complex regulations, impeccable attention to detail, and superior communication abilities to explain technical requirements clearly to non-specialists. Unwavering integrity, sound judgment, and the diplomatic fortitude to enforce rules are paramount character traits. As you search for Compliance Officer jobs, you'll find that employers seek proactive individuals who are not just enforcers, but strategic partners in building a reputable and sustainable business. This career offers the unique satisfaction of being a guardian of corporate governance, making it a profoundly impactful profession.

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