Senior Compliance Advisor - New York

This position is posted by Jobgether on behalf of a partner company. We are currently looking for a Legal Compliance Advisor - REMOTE. · ...

· Basic Qualifications · •     Experience in a compliance role supporting a cash equity business, with specific knowledge of algo trading and capital markets transactions. · •     Currently has relevant securities licenses or is willing to quickly obtain them. · •     Demonstrat ...

A senior-level opportunity within a Broker-Dealer Regulatory Governance & Advisory team at a global financial institution. · Provide compliance guidance and challenge to business and support teams on regulatory and compliance matters · Escalate potential conduct issues, incidents ...

A senior-level opportunity within a Broker-Dealer Regulatory Governance & Advisory team at a global financial institution. · ...

Sr. asesor de cumplimiento para el equipo de gestión regulatoria e institucional del Fidelity. · Independientemente responder a consultas regulatorias con precisión y dentro del plazo establecido. · ...

As a Senior Compliance Advisor for the Fidelity Institutional & Fund and Brokerage Operations & Technology Regulatory Management team, you will be responsible for responding to regulatory inquiries accurately and in a timely manner. You will draft timely, detailed and accurate wr ...

As a Senior Compliance Advisor within the Fidelity Institutional (FI) & Fund and Brokerage Operations & Technology (FBOT) Compliance organization,you will serve as an informed and trusted business partner who promotes a culture of ethical conduct and commitment to compliance regu ...

This position is posted by Jobgether on behalf of a partner company.We are currently looking for a Legal Compliance Advisor - REMOTE. · You will work closely with various stakeholders to communicate and oversee compliance measures effectively. · This is a unique opportunity to le ...

The Capital One Privacy Compliance & Risk team is seeking a Manager, Compliance Privacy Advisor with a passion for mitigating privacy risk at a tech-focused financial institution. · They will join us to perform key privacy compliance activities on the second line of defense and w ...

The Capital One Privacy Compliance & Risk team is seeking a Manager, Compliance Privacy Advisor with a passion for mitigating privacy risk at a tech-focused financial institution. They will join us to perform key privacy compliance activities on the second line of defense and wil ...

The Capital One Privacy Compliance & Risk team is seeking a Manager, Compliance Privacy Advisor with a passion for mitigating privacy risk at a tech-focused financial institution. · Provide guidance, advice, and effective challenge on privacy compliance risk of business initiativ ...

Seeking a compliance associate at a securities industry regulatory consulting firm to establish and/or maintain the compliance program for its investment advisor clients. · ...

A leading global broker-dealer is seeking a seasoned Institutional Equities Compliance Advisor to join its high-impact Equities Advisory team. This is a critical hire supporting a fast-growing Equities platform. · ...

We are seeking a compliance associate to establish and/or maintain the compliance program for our investment advisor clients at DFP Regulatory Services. · ...

Seeking a compliance associate at a securities industry regulatory consulting firm to establish and/or maintain the compliance program for its investment advisor clients. · Bachelor's degree (Finance or related discipline preferred) · 2-3 years compliance experience at an investm ...

The Capital One Privacy Compliance & Risk team is seeking a Manager, Compliance Privacy Advisor with a passion for mitigating privacy risk at a tech-focused financial institution. · The Manager will work closely with the business, human resources, legal, tech, and risk partners, ...

This document outlines the job description for a Compliance Officer at Jefferies LLC.The role involves advising on client onboarding and managing client due diligence questionnaires. · ...

This document outlines the job description for a Compliance Officer at Jefferies LLC. · The role involves advising on client onboarding and conducting cross-border jurisdictional assessments. The ideal candidate must have a bachelor's degree, at least five years of relevant exper ...

The Capital One Privacy Compliance & Risk team is seeking a Manager with a passion for mitigating privacy risk at a tech-focused financial institution. · Actively follow privacy trends across the country, · including the development of new privacy laws and emerging privacy risks. ...

The role of the Senior Compliance Advisor is to respond to regulatory inquiries accurately and in a timely manner. · ...