Senior Analyst-Compliance - New York, NY

We are hiring a Senior Compliance Analyst in New York to support broker-dealer registration, licensing, and onboarding compliance across FINRA, SEC, and state regulatory requirements. · Manage and process FINRA Gateway filings including Forms U4, U5, BD, BR, · & applicable NFA fi ...

+Job Summary · New York NY - Atlantic Group is hiring a Senior Compliance Analyst (Broker-Dealer) in New York NY supporting broker-dealer registration licensing and onboarding compliance across FINRA SEC and state regulatory requirements.Manage and process FINRA Gateway filings i ...

We're committed to bringing talented and motivated people together to help our customers plan for a financially secure future. · Mutual of America's Compliance Department is seeking a Senior Compliance Analyst, · with experience in Registered Investment Adviser (RIA) and Register ...

Atlantic Group is hiring a Senior Compliance Analyst (Broker-Dealer) in New York, NY for our client, supporting broker-dealer registration, licensing and onboarding compliance across FINRA, · SEC and state regulatory requirements. · ...

· Mutual of America Financial Group · Job Title: Senior Compliance Analyst · Location: New York, NY (Hybrid) or Columbus, OH (remote)  · Who We Are: · At Mutual of America Financial Group ("Mutual of America"), our mission is to "help people build the assets they need to achieve ...

The Senior Analyst – Communication Compliance Review (CCR) is responsible for overseeing CCR reporting, analytics, and data management processes to ensure robust compliance oversight and risk mitigation. · This role plays a critical part in transforming CCR operations through adv ...

We're committed to bringing talented and motivated people together to help our customers plan for a financially secure future. · ...

Carlyle is seeking a Senior Compliance Analyst to join the Global Credit Compliance team. · This role offers an opportunity to play a central part in the Global Credit Compliance program while partnering closely with the business and broader Legal & Compliance organization to uph ...

hackajob is collaborating with American Express to connect them with exceptional tech professionals for this role. · At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our cus ...

We are looking for a Senior Compliance Analyst to join our Security team as we enter our next phase of scale.We will collaborate with workflow owners, external auditors and other stakeholders in order to assist with reviewing monitoring and resolving compliance findings. · You wi ...

The Senior Compliance Analyst is responsible for ensuring developer compliance with the Minority/Women-Owned Business Enterprise (M/WBE) requirements contained in Real Property Tax Law (RPTL) 485-x; ensuring that there is adequate M/WBE participation in housing development projec ...

+The Senior Analyst – Communication Compliance Review (CCR) is responsible for overseeing CCR reporting, analytics, and data management processes to ensure robust compliance oversight and risk mitigation. · +Lead the development, production, and governance of CCR reporting, dashb ...

Position Summary · Carlyle is seeking a Senior Compliance Analyst to join the Global Credit Compliance team. This role is highly visible and mission-critical, requiring a confident, articulate professional who also serves as a trusted advisor to the business. The ideal candidate ...

The Senior Compliance Analyst – M/WBE Compliance is responsible for ensuring developer compliance with the Minority/Women-Owned Business Enterprise (M/WBE) requirements contained in Real Property Tax Law (RPTL) 485-x; ensuring that there is adequate M/WBE participation in housing ...

The Senior Compliance Analyst will report directly to Assistant Vice President, Compliance. · Coordinate state policy and rate filing activities and ensure company's compliance with state regulations. · Monitor state policy form and rate regulations, · communicate with business p ...

We are looking for a Senior Compliance Analyst to join our Security team as we enter our next phase of scale. · Collaborate with workflow owners, external auditors, and other stakeholders in order to assist with reviewing, monitoring, and resolving compliance findings. · ...

We are seeking a highly motivated and detail-oriented Senior Compliance Analyst. · ...

You could be the one who changes everything for our 28 million members. Centene is transforming the health of our communities, one person at a time. As a diversified, national organization, you'll have access to competitive benefits including a fresh perspective on workplace flex ...

We are looking for a Sr Compliance Risk Analyst to support and scale Mercury's Compliance Management System (CMS), with a focus on governance operations, risk oversight, and workflow execution. · This role will help ensure compliance risks, issues, · and remediation efforts are t ...

About Us · Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, dr ...