Compliance Associate

7 hours ago

New York, New York, United States Alexander Chapman Full time

Leading hedge fund is looking for a mid/senior level associate to join it's legal & compliance team.

Key Responsibilities

  • Monitor regulatory developments and assess their impact on internal policies, procedures, and business processes.
  • Conduct reviews of business activities to ensure adherence to applicable laws, regulations, and internal standards.
  • Assist in the enhancement of compliance frameworks, including policy updates, control testing, and risk assessments.
  • Prepare compliance reports, support audits, and coordinate responses to regulatory inquiries.
  • Provide day-to-day advisory support to business partners, helping translate regulatory requirements into actionable guidance.

  • Associate, Compliance Associate

    1 week ago

    New York, New York, United States GOLDSEAI Full time $60,000 - $150,000 per year

    A major Japanese life insurance company located in New York City, New York, is seeking a Compliance Associate & Associate Corporate Secretary.Collaborate with the Senior Compliance Officer in implementing and managing the organization'scompliance program and coordination of legal matters. Instill a culture of compliance in accordance with legal,regulatory...

  • Associate, Compliance Associate

    7 days ago

    New York, New York, United States NLGIA Full time $80,000 - $100,000 per year

    Functional Title: Compliance Associate & Associate Corporate SecretaryCorporate Title: AssociateDepartment: Corporate OperationsReports To: Senior Compliance OfficerOvertime Eligible (Y/N): N (Exempt)Position Summary:Collaborate with the Senior Compliance Officer in implementing and managing the organization's compliance program and coordination of legal...

  • Compliance Associate

    1 week ago

    New York, New York, United States EquiLend Full time

    About UsWe are a a global financial technology firm serving over 200 of the world's leading financial institutions, including asset owners, broker-dealers, hedge funds, and lending banks. Since launching in 2001, we have become a trusted partner to the securities finance industry, offering a suite of Trading, Post-Trade, Data & Analytics, RegTech, and SaaS...

  • Compliance Programming Associate

    4 days ago

    New York, New York, United States Premium Technology Full time

    Company Description A Major International Bank is looking for a Compliance Programming Associate to join their Compliance Department located in Midtown, NY. Job DescriptionResponsibilities will include data programming, data mining, and data analysis of financial data focused on compliance. Responsible for database development using Oracle and SQL (simple...

  • Compliance Associate-Asset Management

    1 week ago

    New York, New York, United States Pasona N A, Inc. Full time $80,000 - $110,000 per year

    Job DescriptionGlobal Asset Management company NYC branch seeks Compliance Associate & Associate Corporate Secretary to collaborate with the Senior Compliance Officer in implementing and managing the organization's compliance program and coordination of legal matters. Instill a culture of compliance in accordance with legal, regulatory and IT...

  • Compliance Operations Associate

    2 weeks ago

    New York, New York, United States FanDuel Full time $33,000 - $66,000 per year

    THE POSITIONOur roster has an opening with your name on itFanDuel is looking to add a Compliance Operations Associate to the team. As a Compliance Operations Associate, you'll execute day-to-day work across our core programs: Employee Play, Prohibited Play, Gifts & Hospitality, Conflicts of Interest, and Anti-Bribery & Corruption - with growing independence...

  • Compliance Associate

    3 days ago

    New York, New York, United States DriveWealth Full time $85,000 - $110,000

    DriveWealth is a global B2B financial technology organization dedicated to democratizing access to financial independence around the world. Our mission is realized through an API-based platform, empowering our partners to offer seamless investing and trading experiences to clients worldwide, all from their mobile devices.Our technology provides partners with...

  • Compliance Student Associate

    1 week ago

    New York, New York, United States Strategas Securities Full time $25,000 - $40,000 per year

    About Us: Strategas Research Partners, a Baird Company, is a leading institutional brokerage firm focused on providing macro research and capital market services to a wide range of institutional investors and corporations.  Strategas has been recognized in Extel's (formerly Institutional Investor) 2024 All-America Research Team survey and remains, for the...

  • Legal Compliance Operations Associate

    1 week ago

    New York, New York, United States Wilshire Full time $80,000 - $100,000 per year

    Company DescriptionAs part of the Wilshire family, you can rest assured that every day you are contributing to an organization that is helping investors improve their financial outcomes. For more than 50 years, Wilshire has been dedicated to providing customized portfolio solutions grounded in research and powered by next generation technologies.Wilshire...

  • Associate / AVP Broker Dealer Compliance

    2 weeks ago

    New York, New York, United States Phyton Talent Advisors Full time $90,000 - $120,000 per year

    Our client is seeking ahighly motivated and detail-oriented Compliance Associateto join our team inNew York City. This is anin-office role (Monday–Friday)that offers hands-on exposure to a wide range of compliance functions within a dynamic broker-dealer environment.The ideal candidate will have a strong understanding ofWritten Supervisory Procedures...