regulatory compliance officer jobs in Harrison, NY

A leading recruitment firm is seeking a Vice President for Compliance Marketing Review in Greenwich, CT. This position entails conducting thorough reviews of marketing materials to ensure compliance with global regulations, applying expertise in regulatory frameworks like SEC Rule 206(4)-1, and offering proactive guidance to stakeholders. The ideal candidate will have 6-8 years of experience in...

Date: Dec 4, 2025Location:New York, NY, US, 10004Company: PopularWorkplace Type: HybridSenior Compliance Officer II - RegulatoryUS B Regulatory ComplianceWe are looking for a Senior Compliance Officer to join our Compliance Team. The role may be based in New York, NY or Miami Lakes, FL. The right candidate will support the consumer regulatory compliance functions for Popular Bank, including the...

Work Location:New York, New York, United States of AmericaHours:40Line of Business:CompliancePay Detail:$75,000 - $95,000 USDTD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues...

Participate in and contribute to the execution of Populars Compliance Program, ensuring alignment with Corporate compliance and strategic direction and recommend policy and/or actions based on internal and external industry developments for area of Compliance Officer, Regulatory, Compliance, Officer, Senior, Support, Business Services

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of...

A global investment firm in New York seeks a Compliance Officer (Associate/Vice President) to establish and manage a compliance program. The ideal candidate will have over 4 years of regulatory experience, particularly in structured credit transactions, and demonstrate excellent problem-solving and communication skills. This full-time role requires office presence at least 4 days a week and...

Description : The Compliance Officer within Regulatory Relations Core Compliance assists in the development and execution of core compliance programs and processes and helps manage the various relationships with our US regulators. Responsibilities: Assist with the coordination of examinations and inquiries by regulators covering various businesses, functions and topics, including operations,...

We're seeking someone to join our team as a Digital Assets Advisory Compliance Officer in Wealth Management Compliance to shape Morgan Stanley Wealth Management's U.S. digital assets business by navigating emerging regulations, collaborating across legal and risk teams, and driving the development of policies and controls that support innovation and regulatory integrity.In the Legal & Compliance...

Senior Compliance OfficerPosition Details* Provide ongoing compliance support to WorldQuant Millennium Advisors ("WMA")* Conduct ongoing WMA compliance reviews* Assist with transitional and structuring matters related to the expansion of WMA* Assist with the launches of new WMA funds and separately managed accounts ("SMAs")* Monitor regulatory changes, updates and industry-wide compliance...

Responsibilities The primary responsibilities of the Compliance Testing Officer include: Managing the firm’s annual compliance testing programCoordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance with firm procedures.Assist in the development of the firm’s compliance testing program, including testing...

Job Description A Senior Regulatory Compliance Coordinator position is currently available within the Tisch Cancer Institute. The incumbent will work with investigators and the Cancer Clinical Trials Office (CCTO) infrastructure to manage cancer clinical trials for the division. Duties include, but are not limited to, management of clinical studies through the regulatory portion of the trial...

About the Role Peloton is seeking a senior leader (15+ years of experience) for our Compliance, Policy & Regulatory Affairs function. In this role you will be responsible for shaping Peloton’s compliance and regulatory strategy, ensuring adherence to laws and policies, and leading external engagement with regulators, policymakers, and other stakeholders. You will bridge internal risk, legal,...

Company Description Sia is a next-generation, global management consulting group. Founded in 1999, we were born digital. Today our strategy and management capabilities are augmented by data science, enhanced by creativity and driven by responsibility. We're optimists for change and we help clients initiate, navigate and benefit from transformation. We believe optimism is a force multiplier,...

SummaryAs a Director in the Global Markets Regulatory Compliance (âGMRCâ) Advisory team at CACIB, you will play a critical role in advising internal stakeholders on the implementation and development of compliance requirements set forth by the SEC for security-based swap dealer and CFTC and NFA for the swap dealer. This position is integral to enhancing the overall swap dealer program and...

Overview The Vice President, Lead Auditor will lead internal audits focused on U.S. and global regulatory compliance for a foreign banking organization operating in the U.S. This role requires strong knowledge of financial regulations, including Regs D, O, W (“alphabet regs”), and broker-dealer compliance. Responsibilities - Lead and execute audits from planning through final reporting,...

Lithic creates card issuing and payment infrastructure for technology companies that just works. We help some of the world’s fastest-growing digital banks, fintech companies, and software companies process billions in transactions annually. We are seeking a data‑driven Senior Regulatory Compliance Analyst to detect and mitigate compliance, regulatory, and reputational risks. As part of the...

OverviewOur values start with our people, join a team that values you! Bring your talents to Ross, our leading off-price retail chain with over 2,200 stores, and a strong track record of success and growth. Our focus has always been bringing our customers a constant stream of high-quality brands and on-trend merchandise at extraordinary savings. All while providing a fun and exciting treasure...

A global investment bank is seeking a Director to join its Central Compliance team in New York. The role focuses on governance, regulatory change management, and vendor oversight, requiring strong leadership and process improvement skills. Candidates must have over 10 years of Compliance experience within a financial institution and demonstrate exceptional drafting and project management...

Company ProfileMorgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.As a market leader, the talent and passion of our people is critical to...

Summary of the positionThe Lead Auditor conducts audit assignments primarily in 2nd line corporate regulatory compliance from planning to issuance of the final report. This includes an assessment of the audited activity, the performance of tests, analysis and controls and the issuance of recommendations. He/she is responsible for the timeliness and comprehensiveness of the audit deliverables...