Compliance Associate Jobs in New York State
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Search Results - Compliance Associate Jobs in New York State
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 -
ICONMA, LLC-Painted Post
in an effective manner
SOX compliance Associate degree required
Bachelor’s degree preferred
Desired Skills:
Excellent written and oral presentation skills
Previous skill in banking, invoicing, and credit card processes
Knowledge of Credit Management...
resume-library.com -
Social Capital Resources-New York
Growing Bank in Midtown, Manhattan is seeking a Compliance Associate for a temporary-to-permanent opportunity!
Responsibilities:
• Assisting the Compliance Officer in ensuring that the bank maintains a robust compliance program
• Conduct annual...
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 -
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...
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Michael Page-New York
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 to create a culture...
michaelpage.com -
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...
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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...
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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...
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