Brokerage and Compliance Analyst

About the team + role The Chief Compliance Officer, Brokerage, will champion a culture of compliance and will be responsible for managing compliance for Robinhood’s broker dealers. The candidate will serve as an advisor for Robinhood Financial and Robinhood Securities’s operations and customer service teams and help ensure compliance with brokerage...

JOB SPEC: (These keywords must be on resume or won't be considered)-Must have experience as a Business Analyst working at a Hedge Fund or Bank within Prime Brokerage-Mut have experience with Margin Optimization for Futures and Product experience either in Prime Brokerage or Market Risk (RECENT)-Must have experience with Treasury Transformations within Prime...

Your role Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you know how to evaluate risks in a challenging and fast paced environment? We are looking for someone like that who can: act as a compliance subject-matter expert for the Futures and OTC Derivatives Clearing business within the Investment Bank (IB)...

United States - New YorkComplianceGroup FunctionsJob Reference #289997BRCityNew YorkJob TypeFull TimeYour roleAre you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you know how to evaluate risks in a challenging and fast paced environment? We are looking for someone like that who can: • act as a compliance...

Your role Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you know how to evaluate risks in a challenging and fast paced environment? We are looking for someone like that who can:• act as a compliance subject-matter expert for the Futures and OTC Derivatives Clearing business within the Investment Bank...

A recognized hedge fund in New York City is looking to add a new Compliance Analyst to their growing team. In this role, the Compliance Analyst will be responsible for helping to ensure that the firm's business activities are conducted in strict accordance with regulatory requirements.Responsibilities:The Compliance Analyst will:Preparing regulatory...

A recognized hedge fund in New York City is looking to add a new Compliance Analyst to their growing team. In this role, the Compliance Analyst will be responsible for helping to ensure that the firm's business activities are conducted in strict accordance with regulatory requirements.Responsibilities:The Compliance Analyst will:Preparing regulatory...

A recognized hedge fund in New York City is looking to add a new Compliance Analyst to their growing team. In this role, the Compliance Analyst will be responsible for helping to ensure that the firm's business activities are conducted in strict accordance with regulatory requirements. Responsibilities: The Compliance Analyst will: Preparing regulatory...

Compliance Analyst The Compliance Department at Millennium serves to adopt, implement, and enforce a Compliance program, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or detect violations of applicable laws, rules and regulatory requirements and Firm policies. We are seeking...

Compliance Analyst- EComms Surveillance/Registrations ManagerConduct eComms surveillance for the Firm. Update Firm lexicon. Manage case management and escalation processes.Maintain CRD and NFA account to cover registration fees, fingerprint card fees, exam fees, etc.Track/monitor pending exams for employees required to be licensed.Ability to navigate FINRA...

WHO WE ARE: AMAZING INDIVIDUALS WORKING FOR POSITIVE PEOPLE at AIDS Healthcare Foundation! Does the idea of doing something that really makes a difference in people’s lives while being well-compensated intrigue you? Are you looking to work for an organization that encourages growth and success from each and every one of its employees? If so, AIDS...

COMPLIANCE ANALYSTNew York, NYOur client, a NYC-based trading firm is looking for a Compliance Analyst.The team is charged with establishing, implementing and maintaining adequate policies and procedures to ensure compliance of the firm with its legal and regulatory obligations.In this position, tasks will primarily include surveillance and monitoring of...

Job Description: A property & casualty company is looking for a State Filings Analyst to be responsible for rate, rule and form filings with all relevant insurance departments and bureaus. More specifically, this professional will prepare and develop filings for forms, rates and rules with carious state insurance departments, handle responses to objections...

Job Description: A property & casualty company is looking for a State Filings Analyst to be responsible for rate, rule and form filings with all relevant insurance departments and bureaus. More specifically, this professional will prepare and develop filings for forms, rates and rules with carious state insurance departments, handle responses to objections...

Job Description:A property & casualty company is looking for a State Filings Analyst to be responsible for rate, rule and form filings with all relevant insurance departments and bureaus. More specifically, this professional will prepare and develop filings for forms, rates and rules with carious state insurance departments, handle responses to objections...

Job Description:A property & casualty company is looking for a State Filings Analyst to be responsible for rate, rule and form filings with all relevant insurance departments and bureaus. More specifically, this professional will prepare and develop filings for forms, rates and rules with carious state insurance departments, handle responses to objections...

Job Description:A property & casualty company is looking for a State Filings Analyst to be responsible for rate, rule and form filings with all relevant insurance departments and bureaus. More specifically, this professional will prepare and develop filings for forms, rates and rules with carious state insurance departments, handle responses to objections...

Optima Partners is looking for graduates or recent graduates to join our New York office as Compliance Analysts, supporting our Senior Compliance Consultants in developing, implementing and maintaining compliance programs for a variety of registered investment management firms. The Analyst program consists of 2-year hands-on training program. All Analyst...

E-Communications Compliance Surveillance AnalystLegal & Compliance TeamMy client's Legal & Compliance Department safeguards the company's integrity, ensuring ethical conduct and fostering a compliance-focused culture.This Analyst role involves joining our electronic surveillance team in New York and Chicago. This team is responsible for developing and...

E-Communications Compliance Surveillance AnalystLegal & Compliance TeamMy client's Legal & Compliance Department safeguards the company's integrity, ensuring ethical conduct and fostering a compliance-focused culture.This Analyst role involves joining our electronic surveillance team in New York and Chicago. This team is responsible for developing and...