Compliance Associate - Stamford

Join our client's legal and compliance team as a Compliance Associate (Marketing & Advertising Review) in Stamford, CT. You'll assess client presentations, research reports, and social media content for regulatory accuracy and brand consistency. · ...

Join our client's legal and compliance team as a Compliance Associate (Marketing & Advertising Review) in Stamford, CT, overseeing the review of marketing, · advertising, · and performance materials across multiple asset classes. · ...

This is a 3+ month Compliance Associate job assignment in Fairfield County, Connecticut. Our client is seeking a candidate who can assist with ensuring compliance with the firm's Code of Ethics and supporting employee personal trading. · ...

A Compliance Associate will assist in ensuring compliance with a Hedge Fund firm's Code of Ethics, supporting employee personal trading, and handling data review and entry. · ...

Atlantic Group is hiring a Senior Compliance Associate in Greenwich, CT for our client, supporting regulatory oversight within an SEC-registered investment adviser and hedge fund environment. · ...

A financial firm in Greenwich is seeking a Legal and Compliance Associate to work on site. · Maintain databases and oversee document management. · Process bills and invoices and manage approvals for the legal team. · ...

We are seeking a Legal and Compliance Associate to join our team in Greenwich, CT. · ...

Job Summary · Corporate Compliance partners with diverse business units to develop and implement robust compliance programs,Craft practical policies train employees ensure company actions align core principles external regulations. · ...

General Atlantic is seeking a motivated and detail-oriented Compliance Associate to join its Legal and Compliance team. · ...

We're seeking an Associate, Compliance to join our growing team and play a key role in managing and enhancing our SEC-registered investment adviser compliance program. · Support the development and execution of OCM's compliance program in accordance with the Investment Advisers A ...

The Compliance Associate will support the Chief Compliance Officer in overseeing Procyon's Compliance Program by reviewing business activities to identify potential regulatory risks. · Complete weekly reviews to ensure compliance with policies and procedures. · Assist in developi ...

The Compliance Associate supports the firm's Compliance Program by assisting with day-to-day regulatory oversight and compliance operations in accordance with SEC regulations. · This role is responsible for executing core compliance functions and supporting senior compliance pers ...

Your job as a trusted member of the compliance team is a critical one at Procyon through supporting the CCO in overseeing Procyon's Compliance Program. · Responsible for completing a variety of weekly, monthly, quarterly and annual reviews and forensic tests to ensure compliance ...

The Leading Venture Capital firm is seeking a Compliance Associate to join their dynamic team in the Westchester office. · ...

Ameraudi Investment Services seeks a Compliance Associate to join their boutique team in Midtown Manhattan. · Review and approve account opening documentation. · Validate source of funds and account purpose. · Coordinate with advisors and custodians for client onboarding. · ...

Ameraudi Investment Services is seeking a seasoned Compliance Associate to support and enhance our SEC-regulated compliance framework. · This role is designed for a compliance professional with substantive experience in a dual-registered RIA/BD environment who is comfortable oper ...

A newly launched and rapidly growing Private Equity firm is seeking a Compliance Associate/VP to join their team. · ...

+This role reports directly to the Deputy Chief Compliance Officer and plays a key role in supporting the firm's global compliance program. · ...

The Associate Fund Compliance Administrator is responsible for monitoring funds to ensure compliance with various rules and regulations. · Bachelor of business administration, accounting, finance, or related field. · ...

The Associate Fund Compliance Administrator is responsible for a portion of the daily, monthly, and quarterly workflow as it pertains to compliance for the clients of Ultimus Fund Solutions (UFS.) These activities include monitoring funds to ensure compliance with various rules a ...