Compliance Manager Jobs in New York
A Compliance Manager in the banking industry is responsible for ensuring that the bank's operations and business transactions follow all relevant legal and internal rules. They scrutinize the bank's conduct, identify potential areas of compliance risk and vulnerability, and implement corrective action plans. They also develop, initiate, maintain, and revise policies and procedures for the general operation of the compliance program. Hence, they play a crucial role in safeguarding the bank's reputation by ensuring it adheres to laws and regulations, professional standards, and accepted business practices.
Important skills for a Compliance Manager include attention to detail, analytical thinking, excellent communication, and problem-solving skills. They should have a solid understanding of compliance laws and regulations, and an ability to interpret legislation and legal documents. Desirable certifications include Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS), and Certified Compliance & Ethics Professional (CCEP). Potential job roles leading to a Compliance Manager position could be Compliance Analyst, Compliance Officer or Compliance Auditor.
Lead Compliance Officer - Macro Sales & Trading Compliance Team
- New York, NY
- 3 hours ago
- New York, NY
- 3 hours ago
, Commercial Banking, Corporate and Investment Banking, and Wealth & Investment Management....
For you NEW Power Plant Compliance Coordinator WIN Waste Innovations Location Poughkeepsie Posted date 10 hours ago Minimum level N/A Employment type Full-time Job category Other WIN Waste...
Job Description Job Description Audit Coordinator, Video Investment We are seeking an organized, process driven and proactive individual to support our GEICO client. This role will work directly...
Were seeking a skilled Legal Compliance Manager to lead and strengthen our compliance infrastructure as we scale....
- New York, NY
- 2 days ago
- New York, NY
- 2 days ago
FINANCIAL SERVICES REGULATORY COMPLIANCE DIRECTOR/PARTNER CFE, CPA OR JD WITH AT LEAST 10 YEARS EXP (SOME OF WHICH MUST HAVE BEEN WITH A GOVERNMENT AGENCY OR REGULATOR) $175,000 - $300,000 + Bonus...
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...
Interesting problems you'll get to solve Own and lead development of compliance systems supporting how we underwrite and lend. Think UDAAP, Adverse Actions and Do no harm....
Compliance Officer - Financial Crimes Emerging Threat and Surveillance Oversight
- Albany, NY
- 3 days ago
- Albany, NY
- 3 days ago
Provide subject matter expertise and documentation support relative to the enterprise wide BSA/AML risk assessments....
Responsibilities: Work with the entire pharmacy team to ensure 340B compliance by assisting with inventory management and supporting the 340B Compliance Manager Ability to adhere to professional code...
In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines...
Senior Compliance Officer - Monitoring and Testing, TD Securities (US)
- New York, NY
- 4 days ago
- New York, NY
- 4 days ago
Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $110,000 - $135,000 USD TD is committed to providing fair and equitable compensation...
Were building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing whats right for our clients. At CIBC, we embrace your...
Invite a friend Job Description Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth...
Legal and Compliance Manager (food & Beverage) with -3+ years experience in the food & beverage/ hospitality industry....
Manager (CRCM) preferred Experience: 6+ years of experience in related field or field(s) 5+ years of banking experience, or financial/accounting/ business/ consulting preferred Experience managing...
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
- Implementation
- Securities and Exchange Commission
- Fixed Income
- Equity Research
- Spill Prevention, Control & Countermeasure
- Stormwater Pollution Prevention Plan
- National Pollutant Discharge Elimination System
- Equities
- Control & Countermeasure
- 21 CFR 820
- Institutional Review Board
- Lending
- BSA
- Tila Respa Integrated Disclosures
- Know Your Customer
- Private Banking
- OFAC
- Mortgage Processing
- Financial Services
- Wealth Management
- Internal Control
- Capital Markets
- USDA
- Anti-Money Laundering
- Due Diligence
- Resolution
- Risk Management
- Finance
- Strategy Development
- Decision Making
- Auditing
- Written Communication
- Investigation
- Microsoft Outlook
- Verbal Communication
- Documentation
- Interpersonal Skills
- Reporting
- Collaboration
- Policy Development
- Coaching
- Filing
- Bachelor's Degree
- Microsoft PowerPoint
- Regulations
- Microsoft Office
- Problem Solving
- Project Management
- Microsoft Excel
- Time Management
- Research Skills
- Staff Supervision
- Organization
- Customer Service
- Scheduling
- Computer Skills
- Leadership
- Communication Skills
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