Lead Compliance Analyst - New York, NY

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. · ...

+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 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 ...

Job Title: Compliance Analyst · Maintain associated persons (AP) list, licenses and supervisory reporting map. · Review workflow queues and reports, e.g., FINRA Web CRD. · ...

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

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 ...

A leading consulting firm is seeking a Compliance Analyst to join their team. · ...

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. · ...

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 ...

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. · ...

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

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 ...

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 ...

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

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

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 ...

Capula is seeking a hardworking and analytical professional to join as their Compliance Analyst. · In this new role the Compliance Analyst will be responsible for working directly with and assisting the Chief Compliance Officer in the US with the firm's day-to-day compliance and ...

A leading consulting firm in Midtown Manhattan is seeking a Compliance Analyst to join their team. · ...

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 ...

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