Associate, Advisory Compliance - New York

This role involves providing strategic compliance advice and guidance to teams on public and private offerings of equity and debt securities. · ...

An investment bank located in Midtown Manhattan looking to bring on board a VP Advisory Compliance Global Banking Division to join their team. · This role is currently in a hybrid schedule 4 days in office/week.Provide strategic day-to-day compliance advice and guidance to front ...

Cantor Fitzgerald seeks an experienced Equities Compliance Advisor to provide strategic oversight and ensure regulatory compliance for its Equities businesses. · ...

Description · The Senior Line 2 Compliance role is a leadership opportunity within Cantor · Fitzgerald's globally recognized financial services firm. · Serve as a trusted compliance advisor to Equities businesses. · ...

+Job summary · We will do this together — with customers, partners and colleagues. · +QualificationsBachelor's Degree or equivalent · 10+ years relevant experience in investment advisory compliance or related/relevant industry experience · , +ResponsibilitiesSupport the Head of I ...

We're people building money without borders — without judgement or prejudice, too. We believe teams are strongest when they are diverse, equitable and inclusive. · The Wise Platform FinCrime Senior Compliance Manager will lead the development and oversight of Wise Platform's Nort ...

Assist the Head of Investment Advisory Compliance in administering the firm's Compliance Program,focusing on investment and trading activities addressing regulatoryand compliance risks such as brokerage/commission practices,and market manipulation. · Supportthe Head of Investment ...

The Senior Line Compliance role is a leadership opportunity within Cantor Fitzgerald's globally recognized financial services firm. You will be responsible for guiding the Equities businesses on regulatory obligations, firm policies and industry best practices ensuring adherence ...

The Global Compliance Assurance Operations (GCAO) is part of Meta's Regulatory Compliance Program (RCP) and establishes, diagnoses, improves, and manages privacy compliance for better user outcomes. · We are looking for an individual contributor who brings operational scale and p ...

A · Growing Out-Sourced Compliance Consulting Firm is currently seeking an experienced Investment Adviser compliance professional.This is a unique opportunity to join a rapidly growing company and work on cutting-edge projects. · ...

We're people building money without borders — without judgement or prejudice, too. We believe teams are strongest when they are diverse, equitable and inclusive. · We're proud to have a truly international team, and we celebrate our differences. · Inclusive teams help us live our ...

Job purpose · This role will be a Level 3 specialist position in the Regulatory Relations function of Compliance working on various facets of Regulatory Relations – related responsibilities and tasks as described herein. The position requires an ability to counsel and collaborate ...

The Wise Platform FinCrime Senior Compliance Manager will lead the development and oversight of Wise Platform's North America (NorthAm - consisting of US and Canada) financial crime program. · ...

We're looking for a compliance professional to join our team supporting broker-dealer regulatory governance within a large financial services organization. · Experience in broker-dealer compliance or regulatory advisory roles · Strong knowledge of U.S. securities laws and regulat ...

We are looking for a Compliance Advisory Senior Manager to lead the development and oversight of our financial crime program in North America. The successful candidate will have strong experience in financial crime compliance, with a focus on managing risks associated with corres ...

A trading firm located in Downtown Manhattan that is seeking to add a Senior Commodities Compliance Advisory Officer to their team. · ...

A trading firm located in Downtown Manhattan seeks a Senior Commodities Compliance Advisory Officer for their team. · ...

The Senior Compliance Officer will act in a compliance oversight and advisory role supporting assigned business units including two registered investment managers. · Bachelor's Degree or equivalent · Minimum 7 years of compliance, regulatory compliance with respect to registered ...

The Senior Compliance Officer will act in a compliance oversight and advisory role supporting assigned business units including two registered investment managers. · ...

The candidate will provide legal advice and conduct detailed reviews of documentation for investment products offered to clients. · Fund/Product Review: provide legal advice and conduct detailed reviews of documentation for investment products offered to clients, · Contract Draft ...