Equities Compliance Associate - New York City Metropolitan Area

We are seeking a Compliance Associate to join our growing team in New York City. · This is a highly visible opportunity for a motivated compliance professional to gain broad exposure across U.S. and U.K. regulatory frameworks. · ...

We are growing and seeking a Compliance Associate who wants meaningful client exposure, accelerated learning, and a defined path for advancement. · ...

The Compliance Associate will support the BasePoint Capital Compliance function, · assisting with the due diligence and onboarding process for new commercial counterparties, · the ongoing monitoring of commercial counterparties, reviewing compliance with applicable laws · and reg ...

We are seeking an Associate to join our global Compliance Team. · ...

Compliance associate will join a lean compliance function and report directly to the CCO on day-to-day regulatory oversight monitoring and programme development. · Maintain and enhance compliance policies procedures and the Code of Ethics · ...

This is a compliance associate role at a hedge fund with exposure to the entire compliance function and opportunities for growth. · ...

We are supporting a Compliance Associate role with a global investment management firm. · ...

We are working with a lean, growing investment firm ($4BN AUM) specializing in credit & alternative investment strategies that is expanding its Investment Advisory Core Compliance team. · This is a great opportunity to join a lean, high-visibility, growth-oriented team. 4–6 year ...

We are seeking a Senior Compliance Associate to join our dynamic and collaborative team. The newly created position will report directly to the CCO and have broad exposure to all areas of the program. · Develop compliance policies and procedures. · Design training on relevant top ...

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

We are looking for a sharp, intellectually curious Compliance Associate to join our team in New York City. · Support the build-out, maintenance and testing of the firm's compliance program under the Investment Advisers Act and applicable private fund regulations. · ...

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

We are seeking a highly organized and proactive Compliance Associate to support regulatory and compliance functions across a multi-vehicle investment platform in the Private Equity and Venture Capital space. · Support preparation and filing of regulatory disclosures · Assist with ...

We are looking for a Compliance Officer into its Global Control Group, IB and Research Compliance team. · ...

+ We'rerepartneredwitha well-established insurance organization seeking a hands-on Associate General Counsel to support U.S.insurance regulatory and compliance matters.+ This role is well-suited for an attorney who enjoys being close to the business, balancing regulatory oversig ...

We are a consulting firm based in the NYC area seeking a Compliance Professional with expertise in the RIA/Investment Adviser space. · ...

We are seeking a detail-oriented and knowledgeable KYC/AML Compliance Analyst to join our team. · ...

Join a lean and collegial Legal & Compliance team with direct exposure to the General Counsel and Deputy General Counsel. · ...

Our client, a large wholesale bank, is seeking an Operational & Compliance Risk Associate for a broad coverage role supporting senior risk leadership. · ...

A NYC based asset manager is seeking a Senior Marketing Compliance Associate to support the firm's marketing compliance program. · ...