Compliance Associate Jobs in New York
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Search Results - Compliance Associate Jobs in New York
Phaxis LLC-New York
Growing clearing broker dealer is seeking a compliance associate to join their growing team.
Key Responsibilities:
Support the Compliance Department in implementing and executing activities related to communications, daily trade reviews...
resume-library.com -
Larson Maddox-New York
and exceptional work culture. As a Compliance Associate, youll play a critical part in ensuring the firms operations align with SEC/FINRA regulations and work closely with seasoned mentors who have compliance fields for decades.
Youll be part of a collaborative...
mindmatch.ai -
One Ten Associates-New York
We are working with a high performing hedge fund that is looking to hire a Compliance Associate, joining the compliance team in New York. Reporting into the Chief Compliance Officer, this will be a broad generalised compliance role with full...
Green Key Resources-New York
Position Overview
The Compliance Associate will be responsible for implementing and overseeing the firm’s compliance program. This role requires an understanding of the regulatory landscape affecting investment advisers, particularly the Investment...
mindmatch.ai -
Larson Maddox-New York
and exceptional work culture. As a Compliance Associate, you'll play a critical part in ensuring the firm's operations align with SEC/FINRA regulations and work closely with seasoned mentors who have compliance fields for decades.
You'll be part of a collaborative...
LevelUP HCS-New York
About the Position: We are seeking a professional to support the Tech department in ensuring compliance with Federal Reserve and NYSDFS regulatory requirements by aligning processes and procedures with the IT Handbooks provided by the FFIEC...
mindmatch.ai -
New York
Position Summary:
Vista Equity Partners (“Vista”) is seeking to hire a highly accountable and diligent Associate, who will work with the Fund Formation and Broker-Dealer entity to support Vista’s marketing and investor on-boarding functions. Areas...
icims.com -
BBVA-New York
The Sanctions Program Associate is responsible for supporting the branch’s Sanctions Program and directly supporting the Sanctions Program Manager. The individual will perform daily activities to ensure transactions and parties are screened...
mindmatch.ai -
Michael Page-New York
risks.
• Ensure all company policies adhere to current property laws and regulations.
• Manage and organize a team of compliance associates.
• Create sound internal controls and monitor adherence to them.
• Collaborate with different departments...
michaelpage.com -
Hold Brothers Capital, LLC-New York
About the job
Hold Brothers Capital, LLC, a leading self-clearing broker-dealer, is looking for a Compliance Associate/Officer to join the team. He/she will help with the delivery of expert advice to broker dealers regarding FINRA, SEC and/or state...
mindmatch.ai -
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