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 ...

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 ...

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. · ...

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 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 ...

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

++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`,`+ ...

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

+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 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 ...

An Investment Management firm seeks an experienced Compliance Analyst to follow a hybrid schedule. · ...

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

+Job summary · We are seeking a highly motivated and experienced Compliance professional to join us and support our critical Futures Commission Merchant (FCM) compliance activities, · +Responsibilities · Assist in implementing practical regulatory guidance on issues related to fu ...

We are seeking a collaborative and detail‐oriented Compliance AnalystKey responsibilities include providing support to the Compliance and Legal teamsBachelor's degree2‐4 years of experience in compliance, risk management, or a related field within the financial services industryH ...

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. · ...

This is a hands-on compliance role working closely with trading, operations and technology teams. The environment is fast-moving highly analytical and built for people who want real responsibility and long-term growth in compliance. · ...

We are seeking a contingent worker who will be responsible for supporting certain components of a Registrations program which includes a range of processes supporting the execution of registrations and FINRA Associated Persons (AP) program components. · Prepare U4, U5, BD and BR ...

The D. E. Shaw group seeks an analyst to work closely with a team of attorneys and compliance professionals to help ensure the firm's business activities are conducted in strict accordance with regulatory requirements. · collaborate with compliance staff to support the firm's bus ...