Compliance Programming Associate

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...

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...

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

Job DescriptionThe Program Compliance Coordinator works as part of the Program Compliance team to ensure that BRC programs provide high quality and safe client services that meet funder regulations. This position primarily works with BRC's shelter, safe haven and stabilization programs. Primary duties for this hands-on position include conducting assessments...

Company Overview:Strategas Asset Management (SAM) is an SEC-registered investment advisory firm (RIA). Through common ownership, SAM is affiliated with Strategas Securities, LLC (STS), a FINRA member broker-dealer and RIA. SAM offers a suite of model portfolios to clients. The model portfolios are created by SAM's affiliate, STS, through its macro research...

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...

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...

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...

Work Location:New York, New York, United States of AmericaHours40Line Of BusinessCompliancePay Detail$145,000 - $185,000 USDTD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices...

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...