Financial Regulatory Compliance Experts for NYC Broker-Dealer

Established in Tokyo, Sumitomo Mitsui Banking Corporation is a leading global financial group with a 400-year history. Offering a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance, the Group has over 130 offices and 80,000 employees worldwide.The Americas region plays a significant role in SMBC's...

Job OverviewIQ-EQ is a leading provider of services to the alternative asset industry, working closely with managers across multiple capacities. As a Compliance Officer and Regulatory Affairs Expert, you will join our firm's compliance team in assessing, developing, implementing, and testing compliance programs for clients in the alternative and traditional...

About SMBCSMBC Group is a leading global financial institution with a rich history spanning over 400 years. Headquartered in Tokyo, Japan, the group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. With a presence in nearly 40 countries and over 80,000 employees worldwide, SMBC Group is...

Company OverviewWe are a global leader in risk, strategy, and people, advising clients in 130 countries across four businesses: Marsh, Guy Carpenter, Mercer, and Oliver Wyman.Job SummaryWe seek a talented individual to join our Legal and Compliance team as Chief Counsel and Chief Compliance Officer. This hybrid role requires working at least three days a...

Job Title: Insurance Compliance Expert for Regulatory ExcellenceLocation: NYC – Hybrid MustDuration: 6+ monthsEstimated Salary: $120-$160 per hour based on market rates and experience in insurance compliance.Job OverviewWe are seeking an experienced Insurance Compliance Expert to ensure our company remains compliant with evolving insurance regulations and...

About the Role:We are seeking a highly skilled Regulatory Attorney to join our In-House legal team at Page Executive.Key Responsibilities:Navigate complex regulatory frameworks and apply to the company's marketplace of financial products, compliance solutions, and portfolio construction capabilities.Guide the business on 1940 Act experience, Securities Act...

About the RoleWe are seeking a highly skilled Senior Compliance Officer to join our team at IQ-EQ. This is a fantastic opportunity for a seasoned compliance professional to take on a challenging role and make a real impact in the alternative investment sector.Job SummaryThe Senior Compliance Officer will be responsible for leading engagements for the...

About UsTP ICAP is a leading global provider of market infrastructure, dedicated to delivering innovative solutions for clients. Our purpose is to improve price discovery, liquidity, and data distribution through responsible and forward-thinking approaches.Job SummaryWe seek a highly skilled Regulatory Compliance Specialist to join our Americas Compliance...

Job DescriptionWe are seeking a highly skilled Financial Services Compliance Specialist to join our team at BizTek People, Inc. | APA International Placement Consultants.This role will be based in New York, NY and offers a competitive salary of $120,000 - $150,000 per year, depending on experience.Key Responsibilities:Maintain and monitor employee brokerage...

Join Our Team as a Regulatory Compliance ExpertThe Farmer's Dog is a dynamic company that aims to revolutionize the pet food industry by providing personalized and high-quality dog food. As a Regulatory Compliance Expert, you will play a crucial role in ensuring that our products meet all applicable federal, state, and local regulations.About the RoleWe are...

Job OverviewOppenheimer & Co. Inc. is a leading middle-market investment bank and full-service broker-dealer, engaged in various activities in the financial services industry.We are seeking a Surveillance Analyst to support the daily functions of our Compliance department, based in New York.ResponsibilitiesAnalyze business processes and systems, defining...

Job DescriptionWe are seeking a seasoned Chief Counsel to join our Legal and Compliance team at Marsh McLennan.OverviewMaintain adherence to applicable laws and regulations in a fast-paced environment while providing expert guidance on FINRA Rules, Securities Act of '33, Investment Advisers Act of '40, and Investment Company Act of '40. The ideal candidate...

Job OverviewThe TP ICAP Group is a world-leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data through responsible and innovative solutions.We connect clients to superior liquidity and data solutions through our...

At IQ-EQ, we offer an exciting opportunity to work with leading private equity and hedge fund firms in the alternative asset industry.Job Description The successful candidate will provide regulatory compliance services through oversight of the execution and continuous improvement of client compliance programs. They will update programs as necessary to keep...

Unlock Your Potential as a Professional Financial TraderAbout UsPropfirm Broker Amsterdam is a leading platform empowering independent traders to succeed in the financial markets. We collaborate with reputable brokers and proprietary firms, utilizing proven strategies, risk management techniques, and expert guidance.Salary & BenefitsAs a professional trader...

Company OverviewVoya Financial is a leading provider of investment and retirement solutions. We believe that everyone deserves access to financial opportunities, and our mission is to help individuals and communities achieve their financial goals.SalaryThe estimated annual salary for this position is $120,000 - $150,000, depending on location and...

Job OverviewWe are a dynamic CPA firm with offices in midtown NYC, seeking an audit expert with 2-5 years of experience in financial statement auditing. Our clients span various industries, offering a diverse and challenging work environment.

Job Title:Sr. Tax OperationsAbout the RoleWe are seeking a Senior Tax Associate with 1.5+ years of experience in tax withholding reporting, specifically in broker dealer trading and asset services event processing activities.ResponsibilitiesProcess corporate action and dividend eventsManage FIS, Wall Street Concepts, FIS, and XSP systemsPrepare 1099 reports...

About the RoleAs a Compliance Specialist for Health Services at NYC Health + Hospitals, you will play a crucial role in ensuring adherence to regulatory and contractual requirements across various lines of business. With a strong background in quality improvement and compliance oversight, you will lead interdepartmental efforts to maintain high standards of...

At MetroPlus Health Plan, we're committed to empowering New Yorkers by uniting communities through care. We believe that health care is a right, not a privilege.MetroPlusHealth provides the highest quality healthcare services to residents of Bronx, Brooklyn, Manhattan, Queens and Staten Island through a comprehensive list of products. As a wholly-owned...