Senior Manager, Compliance Advisory - New York

An investment bank located in Midtown Manhattan looking to bring on board a Compliance Associate to join their team. · This role is currently in a hybrid schedule (4 days in office / week).Provide strategic, day-to-day compliance advice and guidance to front office and control fu ...

An investment bank located in Midtown Manhattan looking to bring on board a VP Advisory Compliance Global Banking Division to join their team. · This role is currently in a hybrid schedule 4 days in office/week.Provide strategic day-to-day compliance advice and guidance to front ...

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

Cantor Fitzgerald seeks an experienced Equities Compliance Advisor to provide strategic oversight and ensure regulatory compliance for its Equities businesses. · ...

Description · The Senior Line 2 Compliance role is a leadership opportunity within Cantor Fitzgerald's globally recognized financial services firm. You will be responsible for guiding the Equities businesses on regulatory obligations, firm policies, and industry best practices, e ...

Company Description · Wise is a global technology company, building the best way to move and manage the world's money. · Min fees. Max ease. Full speed. · Whether people and businesses are sending money to another country, spending abroad, or making and receiving international pa ...

We're people building money without borders — without judgement or prejudice, too. We believe teams are strongest when they are diverse, equitable and inclusive. · The Wise Platform FinCrime Senior Compliance Manager will lead the development and oversight of Wise Platform's Nort ...

· Company Description · Wise is a global technology company, building the best way to move and manage the world's money. · Min fees. Max ease. Full speed. · Whether people and businesses are sending money to another country, spending abroad, or making and receiving international ...

We're people building money without borders — without judgement or prejudice, too. We believe teams are strongest when they are diverse, equitable and inclusive. · We're proud to have a truly international team, and we celebrate our differences. · Inclusive teams help us live our ...

The Senior Line Compliance role is a leadership opportunity within Cantor Fitzgerald's globally recognized financial services firm. You will be responsible for guiding the Equities businesses on regulatory obligations, firm policies and industry best practices ensuring adherence ...

A · Growing Out-Sourced Compliance Consulting Firm is currently seeking an experienced Investment Adviser compliance professional.This is a unique opportunity to join a rapidly growing company and work on cutting-edge projects. · ...

· Job purpose · This role will be a Level 3 specialist position in the Regulatory Relations function of Compliance working on various facets of Regulatory Relations – related responsibilities and tasks, as described herein. · The position requires an ability (i) to counsel and c ...

The Wise Platform FinCrime Senior Compliance Manager will lead the development and oversight of Wise Platform's North America (NorthAm - consisting of US and Canada) financial crime program. · ...

We're looking for a compliance professional to join our team supporting broker-dealer regulatory governance within a large financial services organization. · Experience in broker-dealer compliance or regulatory advisory roles · Strong knowledge of U.S. securities laws and regulat ...

A trading firm located in Downtown Manhattan that is seeking to add a Senior Commodities Compliance Advisory Officer to their team. · ...

We are looking for a Compliance Advisory Senior Manager to lead the development and oversight of our financial crime program in North America. The successful candidate will have strong experience in financial crime compliance, with a focus on managing risks associated with corres ...

Company Description · We're – you might not know our name, but companies like eBay, ASOS, Klarna, Uber Eats, and Sony do. That moment when you check out online? We make it happen. · is where the world checks out. Our global network powers billions of transactions every year, mak ...

The Senior Compliance Officer will act in a compliance oversight and advisory role supporting assigned business units including two registered investment managers. · ...

Our elite global Alternative Investment Management client is seeking to recruit a VP of Compliance with broad alternative investment industry experience and comprehensive knowledge of the Investment Advisers Act and Investment Company Act. · Responsibilities: · Assist in developi ...

+As a Director in the Global Markets Regulatory Compliance ("GMRC") Advisory team at CACIB, you will play a critical role in advising internal stakeholders on the implementation and development of compliance requirements set forth by the SEC for security-based swap dealer and CFT ...