Investment Management Compliance Analyst - New York, NY

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 ...

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 ...

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 ...

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 seeking a Compliance Analyst to be based in New York. This is a unique opportunity to join a 'best-in-class' compliance and work closely with the Credit Compliance team to provide oversight and monitoring to the Firm's trading platform and activities. · ...

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

+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 ...

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

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. · ...

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

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

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 ...

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. · ...

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

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 ...

+The Compliance Analyst will support the Rockefeller Asset Management's Compliance program, with a focus on testing and monitoring. · +Participate in the development of the annual Compliance testing plan · Responsible for maintaining related test-work papers according to Firm sta ...

+Job summary · We are seeking a highly motivated and experienced Compliance professional to join us and support our critical Futures Commission Merchant (FCM) compliance activities, · +Responsibilities · Assist in implementing practical regulatory guidance on issues related to fu ...

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. · ...

We are seeking a Compliance Analyst to join our team in Midtown Manhattan. This role follows a hybrid schedule with four days in the office. · Support coordination and preparation of materials for advisory and registration initiatives involving DCMs and DCOs. · Assist with projec ...

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

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