Policy and Compliance Analyst - New York, NY

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. · ...

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 ...

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 ...

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 ...

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

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 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 ...

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

+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 ...

Our client, a leading financial services organization, is seeking a Compliance Analyst to join their team. As a Compliance Analyst, you will be part of the Employee Compliance Department supporting the Registrations program. The ideal candidate will demonstrate attention to detai ...

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

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

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 ...

The D. E. Shaw group seeks an analyst to work closely with a team of attorneys and compliance professionals to help ensure the firm's business activities are conducted in strict accordance with regulatory requirements. · collaborate with compliance staff to support the firm's bus ...

++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`,`+ ...

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

+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 ...

An Investment Management firm based in New York City is seeking an experienced professional to join their team as a Compliance Analyst. · ...

+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 ...

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