Financial Services Compliance
Found in: Lensa US P 2 C2 - 2 weeks ago
Responsibilities:
- Provide legal counsel on compliance and regulatory issues in the financial services sector.
- Work with registered investment advisors and broker-dealers, addressing concerns related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
- Conduct statutory and regulatory analysis, and apply legal expertise to guide decision-making.
- Draft and review legal documents, including securities offerings, and ensure adherence to corporate and governance principles.
- Interact with regulatory bodies such as the SEC and FINRA.
- Juris Doctor (JD) degree from an accredited law school.
- Minimum of four years of experience in compliance and regulatory matters.
- Membership in a local bar in good standing.
- Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
- Excellent legal writing skills and ability to perform securities offerings.
- Familiarity with corporate and governance principles.
- Experience with SEC and FINRA interactions preferred but not required.
- Outstanding oral and written communication skills.
- Diverse and fast-paced working atmosphere.
- Collegial and collaborative team environment.
- Opportunities to work on challenging matters in the financial services industry.
- Relocation assistance and covered bar expenses for qualified candidates.
- Hybrid - Full-Time
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Financial Services Compliance
19 hours ago
New York, United States Direct Counsel, LLC Full timeJob DescriptionJob DescriptionDirect Counsel is seeking a mid-level to senior Financial Services Compliance/Regulatory Attorney to join a top law firm in their Financial Services Compliance team. We are seeking a dynamic individual with a minimum of four years' experience in compliance and regulatory matters related to the financial services industry....
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Financial Services Compliance
Found in: Resume Library US A2 - 1 week ago
New York County, New York, United States Direct Counsel, LLC Full timeDirect Counsel is seeking a mid-level to senior Financial Services Compliance/Regulatory Attorney to join a top law firm in their Financial Services Compliance team. We are seeking a dynamic individual with a minimum of four years' experience in compliance and regulatory matters related to the financial services industry. This position can be based...
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Financial Services Representative
2 weeks ago
New York, United States Fifth Avenue Financial Full timeJob DescriptionJob DescriptionThe Opportunity:Fifth Avenue Financial is looking for a Financial Services Representative to join our team. Compensation is 100% commission, earnings are directly related to performance. Our office is located in New York, NY and candidates are expected to come into the office on hybrid basis.Job Responsibilities:Build a...
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Client Service Associate
7 days ago
New York, United States Kestra Financial Full timeSummary: Financial Plan ning firm located in Kalamazoo Michigan seeks a highly energized and confident client service associate who will thrive in a busy environment. This position is critical to providing superior client experience. This position utilizes excellent customer service, attention to detail, and time management skills. Essential Duties And...
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Compliance Analyst
Found in: Appcast Linkedin GBL C2 - 2 weeks ago
New York, United States East End Resources Full timeCOMPLIANCE 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...
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Director of Financial Crimes Compliance
5 days ago
New York, United States CFSB Full time**JOB SUMMARY**: CFSB is seeking an experienced Director of Financial Crimes Compliance Systems within the Bank Secrecy Act (BSA) Department who will be responsible for overseeing and managing the bank's financial crimes compliance systems, ensuring they are effective, efficient, and in line with regulatory requirements. This position plays a crucial role in...
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Associate Financial Advisor
1 week ago
New York, United States Ameriprise Financial Services, Inc. Full timeAssociate Financial Advisor Company Mission We build relationships before we ever build portfolios. We are committed to every client receiving one to one financial advise, personalized recommendations, regular meetings and anytime access. Understanding clients needs and goals for today and the long-term are unique. As an advisor, you begin with listening to...
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Associate Financial Advisor
2 weeks ago
New York, United States Ameriprise Financial Services, LLC Full timeAssociate Financial Advisor Company MissionWe build relationships before we ever build portfolios. We are committed to every client receiving one to one financial advise, personalized recommendations, regular meetings and anytime access.Understanding client’s needs and goals for today and the long-term are unique. As an advisor, you begin with listening...
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Associate Financial Advisor
Found in: Appcast Linkedin GBL C2 - 2 weeks ago
New York, United States Ameriprise Financial Services, LLC Full timeAssociate Financial Advisor Company MissionWe build relationships before we ever build portfolios. We are committed to every client receiving one to one financial advise, personalized recommendations, regular meetings and anytime access.Understanding client’s needs and goals for today and the long-term are unique. As an advisor, you begin with listening...
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Financial Services Consultant
1 week ago
New York, United States H2 Talent Full timeWe're seeking passionate and experienced Cannabis Finance Consultants to collaborate with multiple clients across the US. This is an exciting opportunity to contribute your expertise to various cultivation projects and help shape the success of our industry in the rapidly evolving cannabis market.Responsibilities:Partner with cannabis clients nationwide to...
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Financial Advisor/Financial Planner
Found in: Appcast Linkedin GBL C2 - 2 weeks ago
New York, United States John Calabrese Financial, a financial advisory practice of Ameriprise Financial Services, LLC Full timeThe ideal candidate would be a team player who possesses excellent interpersonal skills and communication abilities, with a high degree of self-confidence.Would have client facing experience with a goal of either entering into a turnkey team operation for business collaboration, or possibly entertaining an exit strategy around succession planning. They...
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Financial Services Representative
Found in: Resume Library US A2 - 1 week ago
Roseland, New Jersey, United States Integrated Financial Concepts Full timeJob Title: Financial Services Representative Company: Integrated Financial Concepts Are you an experienced and detail-oriented professional with a passion for helping & educating others? Integrated Financial Concepts is a nationally recognized Financial Services Firm that hires top-tier talent. We are dedicated to establishing meaningful connections with...
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Financial IT Analyst
1 week ago
New York, United States Creative Financial Staffing Full timeAbout the company: Financial IT Analyst CFS is working with a prominent, non-profit agency who is looking for someone to join their fiscal team and support their financial systems in their Manhattan office (hybrid) Looking for someone to contribute to the efficiency and effectiveness of their financial processes and solutions by providing day-to-day...
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Financial Crimes Compliance Vice President
4 days ago
New York, United States Mitsubishi Ufj Trust And Banking Corporation New York Branch Full timeResponsibilities: Lead the enhancement of the Financial Crimes Compliance procedures and operating manuals to align with the Global Financial Crimes Division Standards. Execute the Anti-Bribery and Corruption (ABC) controls including the review of Gift and Hospitality Requests, Donation request, and perform semi-annual QA. Calculate and report on...
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Financial Crimes Compliance Vice President
1 week ago
New York, United States Mitsubishi UFJ Trust and Banking Corporation, New York Branch Full timeResponsibilities: Lead the enhancement of the Financial Crimes Compliance procedures and operating manuals to align with the Global Financial Crimes Division Standards. Execute the Anti-Bribery and Corruption (ABC) controls including the review of Gift and Hospitality Requests, Donation request, and perform semi-annual QA. Calculate and report on...
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Financial Crimes Compliance Vice President
Found in: Appcast Linkedin GBL C2 - 2 weeks ago
New York, United States Mitsubishi UFJ Trust and Banking Corporation, New York Branch Full timeResponsibilities: • Lead the enhancement of the Financial Crimes Compliance procedures and operating manuals to align with the Global Financial Crimes Division Standards. • Execute the Anti-Bribery and Corruption (ABC) controls including the review of Gift and Hospitality Requests, Donation request, and perform semi-annual QA. • Calculate and report...
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Experienced Financial Advisor
7 days ago
New York, United States Fifth Avenue Financial Full timeJob DescriptionJob DescriptionFifth Avenue Financial is looking for a financial advisor with experience to join our team. Compensation is 100% commission, earnings are directly related to performance.Job Responsibilities:Build a portfolio of customers and offer financial advice tailored to their specific needs and objectivesAnalyze customer financial...
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Experienced Financial Advisor
1 week ago
New York, United States Fifth Avenue Financial Full timeJob DescriptionJob DescriptionThe Opportunity:Fifth Avenue Financial is looking for a financial advisor with experience to join our team. Compensation is 100% commission, earnings are directly related to performance. Job Responsibilities:Build a portfolio of customers and offer financial advice tailored to their specific needs and objectivesAnalyze customer...
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Financial Advisor
2 weeks ago
New York, United States Forest Hills Financial Group Full timeJob DescriptionJob DescriptionForest Hills Financial Group, a member of The Guardian Network®, is looking for individuals like you to join our team as a Financial Advisor. We take an uncommon approach to financial services, focusing on long‐term results and leveraging technology, exceptional relationship management and customized strategies for...
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Trade Surveillance Compliance Analyst
1 week ago
New York, United States East End Resources Full timeCOMPLIANCE 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...