Compliance Associate

Job DescriptionThe Compliance Associate will be responsible for managing employee licensing, completing U4/U5 filings, supporting onboarding and offboarding, maintaining compliance records, communicating with stakeholders, conducting compliance audits, assisting in policy updates, liaising with regulators, and supporting general compliance tasks.Key...

About the RoleOscar Health is seeking a highly skilled Compliance Associate to join our Insurance Operations team. As a key member of our team, you will play a crucial role in supporting compliance within Member and Provider Operations.Key ResponsibilitiesCollaborate with team members and senior leaders to address process gaps and improvements.Perform data...

Educational Alliance is seeking a highly skilled Compliance Associate Director to join our team.The ideal candidate will have a strong background in compliance and risk management, with a proven track record of ensuring regulatory compliance and implementing effective risk management strategies.The Compliance Associate Director will be responsible for...

Maxim Group LLC is seeking a highly motivated Compliance Associate to join their team. The ideal candidate will have a strong understanding of securities industry rules and regulations and be able to implement and enforce Firm policies and procedures.Key Responsibilities: Collaborate with investment banking personnel, salespeople, and management to ensure...

Educational Alliance seeks a highly skilled Compliance Associate Director to join our team. The ideal candidate will be responsible for monitoring compliance standards of the Center for Recovery Wellness (CRW) residential and outpatient components.The Compliance Associate Director will oversee the adherence to all relevant regulations and lead quality...

Job Title: Compliance Associate DirectorEducational Alliance is seeking a highly skilled Compliance Associate Director to join our team. As a key member of our compliance department, you will be responsible for monitoring compliance standards of the Center for Recovery Wellness (CRW) residential and outpatient components.The ideal candidate will have a...

Compliance Associate RoleWe are seeking a detail-oriented Compliance Associate to join our team within Ladenburg Thalmann Asset Management. The Compliance Associate will have an integral role with LTAM that entails assisting with monitoring the accounts. This includes tracking and monitoring accounts with systematic withdrawals, restricted positions, pending...

Job SummaryWe are seeking a highly motivated and detail-oriented Compliance Governance Associate to join our team at Bank of China Limited, New York Branch. This role will assist with maintaining the centralized inventory of all LCD policies and procedures, ensuring compliance with regulatory expectations and bank practices.Key ResponsibilitiesMaintains the...

About Public:Public is an investing platform that makes building a multi-asset portfolio fast, frictionless, and secure. Members can trade stocks, options, bonds, crypto, ETFs, and alternative assets-all in one place. Alongside its robust suite of investing tools, Public offers Alpha, a layer of artificial intelligence that provides fundamental data and...

About Us:Piermont Bank is a digital commercial bank that combines the best of banking and fintech to deliver an unparalleled experience. Founded in 2019, our mission is to revolutionize the banking industry by providing innovative products and services that cater to the needs of today's digital economy.We are a purpose-driven organization that values...

Compliance AssociateMaxim Group LLCMaxim Group is a leading, diversified financial services company seeking a Compliance Associate to help implement and enforce Firm policies and procedures and conduct surveillance with the goal of achieving compliance with securities industry rules and regulations. The job function generally includes reviewing exception...

Job DescriptionEducational Alliance is seeking a highly skilled Associate Director of Compliance to join our team. In this role, you will be responsible for monitoring compliance standards of the Center for Recovery Wellness (CRW) residential and outpatient components.Key Responsibilities:Assure compliance with established record-keeping standardsEnsure...

About the RoleCover Whale is seeking a highly skilled Senior Compliance Associate to support our insurance product filing and regulatory compliance efforts. As a key member of our team, you will play a critical role in ensuring compliance with state and federal regulations, enhancing risk management, and developing strategies that align with our business...

About the RoleThis position plays a crucial role in supporting compliance within Member and Provider Operations by analyzing challenges, coordinating responses, and delivering positive outcomes based on inputs from stakeholders. You will advance compliance efforts by conducting detailed data analysis, managing document reviews, overseeing the delivery of...

Job DescriptionAt The Goldman Sachs Group, Inc., we are seeking a highly skilled Compliance and Business Intelligence Associate to join our team. As a key member of our organization, you will play a critical role in assessing and mitigating compliance, regulatory, and reputational risk across the firm.Our division is responsible for preventing, detecting,...

Compliance Associate Job DescriptionWe are seeking a highly skilled Compliance Associate to join our team at One Ten Associates in New York. As a key member of our compliance team, you will be responsible for ensuring the company's adherence to regulatory requirements and industry standards.Key Responsibilities:Oversee the Code of Ethics process to ensure...

We are seeking a highly motivated and detail-oriented Compliance Generalist to join our team at Moelis & Co. in New York. As a key member of our Compliance team, you will be responsible for managing the onboarding process for new hires, including registered and non-registered employees. You will also be responsible for processing U4/U5/BD Amendments filings...

We are seeking a highly motivated and detail-oriented Compliance Generalist Associate Vice President to join our team at Moelis & Co.Responsibilities:Manage the onboarding process for new hires, including registered and non-registered employees.Process U4/U5/BD Amendments filings and disclosures.Liaise with Recruiting and Human Capital Management for all...

We are seeking a highly motivated Compliance Generalist Associate Vice President to join our team at Moelis & Co.Key Responsibilities:Manage the onboarding process for new hires, including registered and non-registered employees.Process U4/U5/BD Amendments filings and disclosures.Liaise with Recruiting and Human Capital Management for all recruiting and new...

Job DescriptionJob Title: Compliance SpecialistLocation: Orange CityJob Type: Full-timeAbout Us:Our team is committed to quality and food safety, with a focus on proactive nutrition. We strive to provide safe, healthy, natural solutions for the betterment of animals' lives.Job Summary:The Compliance Specialist is responsible for ensuring all company...