Compliance Analyst - New York

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 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 ...

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 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. · ...

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. · ...

+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 ...

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

Compliance AnalystPosition 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 chan ...

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

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

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 ...

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 ...

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 ...

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 ...

We are seeking a contingent worker who will support certain components of a Registrations program. · SummaryThe Registration Team manages Nikko Americas Inc. related Client registrations and licensing process for the firm, its branch offices, and its associated persons. · ...

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 ...

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 ...

The Compliance Analyst will be responsible for monitoring and oversight of the Compliance framework for the Division.Ensure processes are in place for appropriate oversight tracking and reporting of compliance program risks that includes internal control structure new products tr ...

Job summaryA dynamic NYC-based trading firm is looking for a Compliance Analyst to join its growing compliance team. · ResponsibilitiesSurveillance and monitoring of trading activity · Training and inducting staff · ...

+The Compliance Analyst will support the Rockefeller Asset Management's Compliance program. · ++2-4 years relevant experienceBachelor's degree RequiredPrevious experience working on a Compliance testing, internal audit or consulting firm teams, ...