Compliance Associate - New York

The firm is seeking a Compliance Associate to join its Credit Compliance team in New York. This individual will support compliance oversight for the firm's global credit platform. · Minimum of 3 years of experience in a compliance role within the asset management or financial ser ...

++A leading global private equity firm is seeking a Compliance Analyst or Associate to support its Private Equity Compliance program.+ · +This is a highly visible and impactful role focused on identifying, managing, and mitigating compliance risk while fostering a business-orient ...

A leading private equity firm with more than $5B in assets under management is seeking a Compliance Analyst or Associate to join its team in New York City. · ...

This is a full-time, remote Compliance Associate role based in the New York City Metropolitan Area. · Knowledge of compliance concepts, regulatory frameworks, and securities regulation, including anti-money laundering and cybersecurity procedures · Experience with audit processes ...

We are seeking a Compliance professional to join our team in New York. This individual will report directly to the Chief Compliance Officer and play a critical role in supporting TCV's compliance program, · Support core compliance functions including Code of Ethics Political Cont ...

A leading institutional investment firm in New York seeks a Compliance Associate to support investment guideline oversight and work closely with portfolio managers. · Oversee investment portfolios utilizing Charles River Development (CRD) to ensure strict adherence to client guid ...

The role involves supporting day-to-day compliance obligations and providing securities and advisory regulatory compliance support across daily operations. · ...

The Atlantic Group is hiring a Compliance Associate to support employee compliance monitoring, regulatory filings and marketing reviews. The ideal candidate will have experience in investment management or related environments with strong attention to detail and familiarity with ...

Atlantic Group is hiring a Compliance Associate (Investment Management) in New York, NY for our client. · ...

The Compliance Associate will work closely with members of BDT & MSD's Legal & Compliance team to ensure regulatory compliance across the platform. · Assist in the drafting, maintenance, and implementation of policies, procedures, and trainings · Assist in KYC and other deal rela ...

We seek an Associate to join our global Compliance Team at an Alternative Asset Management client. · ...

The Compliance Associate will work closely with members of BDT & MSD's Legal & Compliance team to ensure regulatory compliance across the platform. · Assist in the drafting, maintenance, and implementation of policies, procedures, and trainings · Assist in KYC and other deal rela ...

Broad exposure across the entire hedge fund compliance function. High-volume, hands-on role with meaningful learning and advancement potential. · ...

The Compliance Associate will support the BasePoint Capital Compliance function by assisting with due diligence and onboarding process for new commercial counterparties. · This role will work closely with SVP and VP of Compliance to review commercial counterparts operations align ...

The Compliance Associate will serve as a key member of the firm's in-house compliance function. · Actively participate in counterparty diligence and monitoring discussions. · Support compliance oversight for financing transactions. · ...

The Compliance Associate will join a lean, high-quality Compliance function and reporting directly to the CCO on day-to-day regulatory oversight, monitoring, and programme development. · ...

NPM is looking for a Compliance Associate with previous compliance experience in implementing SEC and FINRA rules to assist the Chief Compliance Officer (CCO) and Compliance Director with managing its SEC registered broker-dealer (BD) and SEC-registered investment adviser (RIA) c ...

We are hiring a Compliance Associate in New York supporting employee compliance monitoring regulatory filings marketing reviews lobbying requirements. · ...

We are supporting a Compliance Associate role with a global investment management firm.This position works closely with the trading desk front office and operations. · The role focuses on monitoring daily trading activity to ensure alignment with client guidelines internal polici ...

We're seeking an Associate, Compliance to join our growing team and play a key role in managing and enhancing our SEC-registered investment adviser compliance program. · ...