Compliance Officer jobs in New York
Because of the nature of the work, compliance officers traditionally come from a legal or finance background, with associated degrees. The sector is getting increasingly competitive, as being a compliance officer is seen as an attractive career, but individuals in compliance can still hail from diverse backgrounds as regulatory departments are more and more seeking complimentary technology and data skills.
Being a compliance officer can be a demanding job and it can be tough to keep on top of regulatory or legal changes in the financial services sector. The ability to stay on top of things and to manage people well are hallmarks of a good compliance officer. They need to be there for the front office staff, but also for the C-Suite, especially when operating as a Chief Compliance Officer, General Counsel or Chief Operating Officer.
Main Key Duties
While a Compliance Officer’s key duties might change from one type of firm to another, its core responsibilities will usually include, but not be limited to, the following:
Fostering an ethical culture at the firm
Avoiding fines and other penalties from the regulating body (FCA in the UK, SEC in the US)
Creating, monitoring and reporting on internal policies and processes: IT, Strategy, OH&S (Occupational, Health & Safety), KYC (Know Your Customer), PEP (Politically Exposed Person) and Sanctions
Legal research and anticipating future changes
Leveraging future changes in regulation
Reviewing marketing material and disclaimers
Training sessions to staff
Answering “can we do X?” questions from the C-Suite and front office
Conducting internal audits
Assisting with disciplinary proceedings
Reporting to the regulator
Making sure that advice considers business objectives
Prepare and file regulatory reports with the FCA
Main Required Skills
Broader Business Acumen (Product & Technology knowledge)
Interpersonal skills and communication
Problem solving
Attention to detail
Niche candidates and subject matter experts
New York City
New York is known as the cultural, financial, and media capital of the world. Home to the headquarters of the United Nations, its residents speak over 800 languages and over 60 million people visit the city every year to take it all in.
New York is home to Wall Street and the two largest stock exchanges in the world and it’s known as the most financially powerful city in the world with more billionaires in residence than any other city. For over 200 years, the "Big Apple" has been the centre of opportunities where dreams and accomplishments can be big, and is known for it fast pace, which is unrivalled.
Getting around
Put a New York City map in front of you, and you will see how easy it is to get around town. Most of Manhattan's neighbourhoods are after all quite self-descriptive: Upper East Side, Upper West Side, and so on.
Commuting to word can be as easy as putting on a pair of walking shoes: many New Yorkers walk to their destination. If walking isn't your forte, public transit is another great option - or hailing one of its famous yellow cabs. New York is known for its inexpensive and environmentally-friendly rail system, or "subway".
Latest jobs in Compliance
-
about 9 hours ago
Finance Associate 1-7 PQE
London
Join a leading international law firm renowned for advising global corporations and financial institutions on complex, high-profile fi...
-
about 9 hours ago
1-5 PQE Real Estate Associate – Inves...
London
Role OverviewOur client’s London Real Estate group is offering a first-rate opportunity for an associate to join a high-profile practice...
-
about 9 hours ago
Associate, Competition Litigation - P...
London
Role OverviewOur client is an instantly recognisable top-tier law firm with an extremely well regarded competition litigation group. It'...
-
about 9 hours ago
Senior Associate or Legal Director, –...
London
OverviewOur client, a major international law firm with c.5,900 professionals operating in over 35 jurisdictions, is looking to appoint...
-
about 9 hours ago
Associate, Elite US Firm
London
Role OverviewOur client’s Finance and Restructuring team in London offers a compelling opportunity for an Associate qualified in England...
-
about 9 hours ago
Associate, Restructuring - Elite US L...
London
OverviewOur client, a prestigious international law firm, is seeking a Restructuring and Bankruptcy Associate to join its London team. T...
-
about 10 hours ago
Mid-Level Associate, Private Funds - ...
London
Role Overview:My client’s private funds team in London offers a standout opportunity for an Associate, with 3-6 years' PQE, seeking to w...
-
about 10 hours ago
Associate, Real Estate – Elite US Law...
London
OverviewOur client, a prestigious international law firm with a strong reputation in the real estate market, is seeking an Associate to...
-
about 10 hours ago
Associate, Antiturst & Competition - ...
London
About the jobRole OverviewOur client’s competition law team offers an exceptional platform for associates who want to build their expe...
-
about 1 month ago
1-5 PQE Real Estate Associate – Inves...
London
Role OverviewOur client’s London Real Estate group is offering a first-rate opportunity for an associate to join a high-profile practice...