Responsibilities: To assist both the Head, Compliance and Executive, Compliance to monitor the Branch s compliance with local laws, regulations, guidelines and standards, as well as Head Office requirements through the...
Compliance Associate (New York, NY): Our client, a large asset manager with over $30 billion in assets, is currently seeking a driven Compliance Associate. Under the supervision of the Chief Compliance Officer and Director of...
Job Purpose Primary functions Responsible for the overall KYC regulatory compliance within MashreqBank - New York branch. Maintain a Customer Identification Program (CIP) for...
Position Summary The Compliance Associate will support the Office of Ethics and Compliance's ("OEC's") operations and activities, and manage the execution and timeline of projects to ensure that New York University's global operations comply...
Location: NYC - Midtown (3-4 days in office) Compensation: $100k-$120k base + bonus ($20k-$30k) A global investment firm is seeking to hire a Compliance Analyst who will...
Our client, a leading private equity firm in Midtown Manhattan is looking for a Compliance Coordinator/Associate to join their team. This role will assist the CCO to ensure the organization is in compliance with all regulations, laws, and...
Webull Financial LLC is a FINRA registered broker dealer, we provide online investing platform for retail investors, products include global market data, news and trading in US equities and listed options. We are looking for a talented financial...
MORE ABOUT THIS SKILLSET Manage the firm's compliance, regulatory and reputational risks by ensuring adherence to laws, rules and regulations Our colleagues in Global Compliance are responsible for...
Summary: The Senior Compliance Associate is responsible for assisting in the administration of the Compliance Program for each of the regulated Calamos entities. Included is testing of controls, review and updating of the firm's policies and...
Compliance Analyst Job Description Assist team with the implementation of an effective compliance program identifying and prioritizing compliance and regulatory...