Senior Equities Compliance Advisor - Manhattan, NY

This position is posted by Jobgether on behalf of a partner company. We are currently looking for a Legal Compliance Advisor - REMOTE. · In this role, you will play a critical part in ensuring that our partner stays updated with the evolving landscape of laws and regulations. · Y ...

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

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 ...

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, ...

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

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. · ...

· Job Description: · Position Description: · Responds to institutional brokerage business inquiries and data requests, interprets data analytics results, and collaborates with compliance teams to present findings to management. Applies data mining, analysis, and visualization de ...