Senior Compliance Analyst - New York, NY

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. · ...

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 ...

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 ...

+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 ...

A Top-Tier Investment Management Firm in NYC is seeking a Compliance Analyst for a full-time position. · ...

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 ...

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. · ...

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

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

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

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 ...

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. · ...

The Compliance Analyst will be responsible for monitoring, oversight and independent review and assessment of the Compliance framework for the Division. · ...

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 contingent worker who will support certain components of a Registrations program. · SummaryThe Registration Team manages Nikko Americas Inc. related Client registrations and licensing process for the firm, its branch offices, and its associated persons. · ...

The Compliance Analyst will be responsible for monitoring and oversight of the Compliance framework for the Division.Ensure processes are in place for appropriate oversight tracking and reporting of compliance program risks that includes internal control structure new products tr ...

An Investment Management firm based in New York City is seeking an experienced professional to join their team as a Compliance Analyst. · ...

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 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 ...

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

+The Compliance Analyst will support the Rockefeller Asset Management's Compliance program. · ++2-4 years relevant experienceBachelor's degree RequiredPrevious experience working on a Compliance testing, internal audit or consulting firm teams, ...