Compliance Analyst (1940s Investment Advisor Act Required) Jobs in New York, NY 10261

Company Description New Start Capital is a financial services and advisory firm located in New York, NY. We specialize in helping customers with lower to moderate credit... Read More

Company Introduction Kashable is a fast growing, venture-backed Fin-Tech startup based in NYC. We provide socially- responsible, low-cost credit to American employees... Read More

COMPANY: Hedge Fund POSITION: Legal and Compliance Analyst LOCATION: Midtown, Manhattan (HYBRID 3 Days In Office/2 Days Work from Home) HOURS: 8:00am 5:00pm (with... Read More

General Summary: The Sanctions Analyst is responsible for supporting the BBVA New York Branch s Sanctions Program and will directly report to the Sanctions Program... Read More

Summary The Senior Governance Risk Compliance (GRC) Analyst will ensure the integrity, confidentiality and availability of the Firm s information via risk assessments,... Read More

Exact compensation may vary based on several factors, including skills, experience, and education. Benefit packages for this role will start on the 31st day of employment... Read More

About Cloudbreak Compliance Group, LLC Cloudbreak Compliance Group is a leading compliance consulting firm that works primarily with private funds managers. Cloudbreak... Read More

Chief Compliance Officer Lime Trading Corp is a registered execution-only, agency broker-dealer focusing on supporting low latency trading activity for institutional and... Read More

Sr. Global Trade Compliance Analyst Full Remote Opportunity, candidates can be nationwide Please ensure candidates can work EST Hours if Sourced outside of East Coast... Read More

Source One is a consulting services company and we re currently looking for the following individual to work as a consultant with our direct client, a global... Read More

Company Description AbbVie's mission is to discover and deliver innovative medicines and solutions that solve serious health issues today and address the medical... Read More

$75 Billion Alternative Asset Manager Seeks a Chief Compliance Officer *Reporting to the Deputy Chief Compliance Officer *Supervising a staff of 4-6 *Work Closely Across... Read More

Deputy Chief Compliance Officer (New York, NY): Our client, a hybrid fund with over $7 billion in AUM and several international offices, is looking to hire a Deputy Chief... Read More

Conduct reviews under the Group s annual review program pursuant to Rule 206(4)-7 of the Advisers Act which includes conducting reviews of the Group s policies and... Read More

Sia Partners is a next-generation management consulting firm. We offer a unique blend of AI and design capabilities, augmenting traditional consulting to deliver superior... Read More

As the founding entity of RAINBOW PARTNERS, Quanteam is a consulting firm specializing in the fields of Banking, Finance, and Financial Services. Guided by our core values... Read More

Employer: DWS Group Title: Senior AFC and Compliance Officer Location: New York, New York About DWS: Today, markets face a whole new set of pressures but also a whole lot... Read More

There s a reason HUNTER is recognized as one of America s Most Loved Workplaces and has been named PRovoke Consumer Agency of the Year not once, but twice: At HUNTER, we... Read More

Founded in 1992, Cerberus is a global leader in alternative investing with approximately $67 billion in assets across complementary credit, private equity, and real estate... Read More