Experienced/Lateral - Compliance Analyst - New York

Atlantic Group is hiring a Compliance Analyst (Investment Management) in New York, NY for our client, · supporting investment advisory compliance,surveillance, regulatory filings and policy governance.Surveillance & Monitoring: Review and analyze trade, · communications ,and empl ...

We are seeking a Compliance Analyst to join Greystone. The role will assist the Chief Compliance Officer in creating and executing a compliance monitoring and testing program. · The Compliance Analyst will also partner with business leaders to provide consultation regarding key c ...

We are seeking a Compliance Analyst to be based in New York. This is a unique opportunity to join a 'best-in-class' compliance and work closely with the Credit Compliance team to provide oversight and monitoring to the Firm's trading platform and activities. · ...

A Compliance Analyst is being sought by a specialized investment firm to join their Manhattan office. · Prepare and submit required regulatory filings in a timely and accurate manner. · Partner with compliance team members to support various business units on regulatory and polic ...

We are hiring a Compliance Analyst (Investment Management) in New York, NY for our client. This hybrid role partners closely with compliance, business, and technology teams to oversee employee compliance, monitoring programs and regulatory requirements. · ...

A Compliance Analyst will focus on surveillance and monitoring activities while collaborating closely with legal, compliance, technology, and business stakeholders to support the firm's regulatory obligations. · Analyze outputs from internal surveillance tools to identify potenti ...

Atlantic Group is hiring a Compliance Analyst (Investment Management) in New York, NY for our client, supporting investment advisory compliance, surveillance, regulatory filings, · Review and analyze trade communications and employee surveillance reports to identify potential com ...

Our client is a specialized investment firm. They seek a Compliance Analyst to join their Manhattan office. · ...

+We're partnering with a top-performing, global multi-strategy hedge fund to add Compliance Analysts as the platform continues to grow. · +Trade surveillance and regulatory monitoring across multiple strategies · SEC and CFTC reporting and ongoing regulatory obligations · + ...

We are seeking an experienced Compliance Analyst to provide immediate support to the Billing team. This hybrid role is based in New York and offers a dynamic work environment. · ...

++Five Rings is a proprietary trading firm founded with a vision of combining strategy innovation and technology to succeed in today s global markets. · + · <br`,`+ ...

+Weareseekingacollaborativeanddetail‐orientedComplianceAnalyst · (preferably with experience at an investment bank or other regulated financial services or asset · management firm) to support our compliance program. · +Bachelor's degree 2‐4 years of experience in compliance, ris ...

+We are seeking a hardworking and analytical professional to join as their Compliance Analyst. · ...

Job summaryA dynamic NYC-based trading firm is looking for a Compliance Analyst to join its growing compliance team. · ResponsibilitiesSurveillance and monitoring of trading activity · Training and inducting staff · ...

Our client, an industry-leading investment bank, is seeking an experienced Compliance Analyst to provide immediate support to the Billing team. · ...

We are seeking a Compliance Analyst to join our team in Midtown Manhattan. This role follows a hybrid schedule with four days in the office. · Support coordination and preparation of materials for advisory and registration initiatives involving DCMs and DCOs. · Assist with projec ...

The FIU Analyst may also be a subject matter expert in nuanced areas of TM and responsible for training newer hires.The FIU Analyst may be tasked with the supervision and quality control of the staff's completion of alert reviews and SAR filings on a temporary basis. · ...

The Compliance Analyst will be responsible for monitoring, oversight and independent review · and assessment of the Compliance framework for the Division. · This is a great opportunity · to grow your career with a stable and expanding organization as a member of City National's ...

Job Title: Compliance Analyst · Maintain associated persons (AP) list, licenses and supervisory reporting map. · Review workflow queues and reports, e.g., FINRA Web CRD. · ...

US investment bank seeks to hire an Analyst to join the Legal and Compliance department for the Core Compliance Regulatory group. · ...

We are looking for a Compliance Analyst to join our team at a well-known Financial Services firm in New York. · Monitoring electronic surveillance systems to detect any activities that may violate company policies or regulatory requirements. · Investigating and escalating any non ...