Quality Assurance and Compliance Analyst - New York, NY

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 ...

Our client is a specialized investment firm. They seek a Compliance Analyst to join their Manhattan office. · ...

Neuberger is seeking an Analyst to join the Compliance Team in New York. This person will report into the Chief Compliance Officer – Central Compliance. In this role, the primary focus is surveillance and monitoring, with opportunities to contribute to collaborative projects acro ...

++Five Rings is a proprietary trading firm founded with a vision of combining strategy innovation and technology to succeed in today s global markets. · + · <br`,`+ ...

Compliance Analyst · Position Details · Assist with the administration of the Firm's global Quantitative Trading Compliance program, including the initial vetting and ongoing review of portfolio management teams against the Firm's Algorithmic Trading Policy · Monitor regulatory c ...

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 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. · ...

A leading wealth management firm, to support their search for a Compliance Analyst in New York. Reporting to the Chief Compliance Officer – Central Compliance, this full-time role offers a hybrid work schedule in NYC and provides a unique opportunity to contribute to the firm's g ...

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 ...

Compliance Analyst – NYC · Our client, a reputable financial services firm, is seeking a Temp Compliance Analyst to join their team to cover a maternity leave. This assignment will likely run for 3–6 months, with the possibility of extension. We are seeking candidates with experi ...

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 ...

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 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 ...

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

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 ...

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 contingent worker who will be responsible for supporting certain components of a Registrations program which includes a range of processes supporting the execution of registrations and FINRA Associated Persons (AP) program components. · Prepare U4, U5, BD and BR ...

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. · ...

We are seeking a Compliance Analyst to join Greystone. The role will assist the Chief Compliance Officer in creating and executing a compliance monitoring and testing program. · The Compliance Analyst will also partner with business leaders to provide consultation regarding key c ...

About The Role & Team · At Webull, our Compliance team serves as a strategic partner across the organization, safeguarding both our clients and the integrity of the firm. We blend deep regulatory expertise with a forward-thinking mindset to support innovation in a highly regulate ...