Senior Control Room & Equity Research Compliance Lead
Russell Tobin
Russell Tobin seeks a Senior Control Room / Equity Research Compliance Officer with 10+ years of experience to serve as the SME on Information Barriers, MNPI, wall crossings, and Equity Research Compliance. You will partner with Investment Banking, Legal, Risk, and Compliance to review and approve equity research, advise on expert networks, maintain watch lists, respond to inquiries, and develop robust policies. #J-18808-Ljbffr Russell Tobin
Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Senior Control Room & Equity Research Compliance Lead in New York, NY vacancy
$88 per hour
BizTek People is seeking a Senior Compliance Officer for our client, a global financial institution in New York City. Location... .... The role focuses on Information Barriers, Control Room Compliance, and Equity Research compliance, supporting governance, regulatory compliance...Employment EquitySeniorContract workImmediate startRemote work- Phyton Talent Advisors seeks an experienced Senior Compliance Officer to support the firm’s Equity Research business and serve as a trusted advisor to business... ...and Compliance partners. This role oversees the Control Room and Information Barrier framework, ensuring compliance...Employment EquitySenior
$121k - $185k
...Senior Security GRC Lead Austin | Chicago | New York City | Salt Lake City... ...center of Gong's security and compliance story. As our Senior GRC... ...— Gong's first-ever Common Controls Framework, standing up a formal... ...compensation, bonus, equity, and benefits. Some of our...Employment EquitySeniorGong.io
New York, NY3 days ago- BitGo is looking for a professional to join their Control Room, focusing on managing compliance and internal policies. You will be responsible for maturing the control room function and assessing current controls to ensure organizational integrity. The ideal candidate will...Suggested
$99k - $104k
...families, and communities. The Lead Senior Accountant reports to and... ...adherence to internal control policies and procedures as well... ...Experience with fiscal, compliance and program audits Experience... ...OUR COMMITMENT TO DIVERSITY, EQUITY, AND INCLUSION The Legal...Employment EquitySeniorWork at officeRemote workVisa sponsorshipWork visaFlexible hoursAfternoon shiftThe Legal Aid Society - New York City
New York, NY1 day ago- ...Senior Accountant We are looking for an experienced... ...taxation, advisory, compliance, audit, and accounting... ...funds, private-equity and venture capital firms... ...planning, process and controls testing, analytical reviews, and accounting research Effectively research...Employment EquitySenior
Navolio & Tallman LLP
New York, NY5 days ago - ...strategy. As a Tech Risk & Controls Senior Associate in Cybersecurity... ...aspects of Governance, Risk, and Compliance in line with the firm's... ...hands-on producer and delivery lead for executive governance... ...of cash and/or forfeitable equity, awarded in recognition of individual...Employment EquitySenior
J.P. Morgan
New York, NY2 days ago - SIG Susquehanna is seeking a Senior Compliance Officer in Pennsylvania. This role involves providing regulatory guidance to the firm's equities trading and sales teams. Candidates must have 5-10+ years of compliance experience within equities markets, a strong knowledge...Employment EquitySenior
- ...Provide regulatory and Firm compliance advice and guidance on... ...barriers, investment research, and investment... ...conflicts of interest, and Control Room operations. Manage the... ...business management, senior research analysts, and... ..., preferably equity‑related. Compensation...Employment Equity
- hackajob, in collaboration with JPMorgan, is seeking a Tech Risk & Controls Senior Associate to help navigate risk landscapes and strengthen technology governance across the organization. You will contribute to end-to-end management and strategy delivery of executive content...Senior
$200k - $320k
A cutting-edge AI startup in New York is seeking a Senior Research Scientist to advance their machine learning initiatives. The successful... ...impressive salary range of $200,000 to $320,000, along with equity and comprehensive benefits in a dynamic work environment. #J-...Employment EquitySenior- A leading crypto trading firm is seeking a Senior Quant to spearhead research and model deployment in a fully remote environment. Ideal candidates bring extensive experience... .... The role offers competitive compensation, equity options, and advanced working conditions in a...Employment EquitySeniorRemote job
$225k
...New York office. You will conduct in-depth analysis, publish research, and lead a small team. The ideal candidate will have a Bachelor’s degree... ...relevant experience. The role involves financial modeling, equity research, and collaboration across teams. A competitive salary...Employment EquitySeniorWork at officeRemote work$1,000 per month
...help individuals take control of their financial... ...Design, Growth Marketing, Research, Data, Compliance, Customer Service,... ...customers. What you’ll do: Lead GTM strategy :... ...functional partners and senior stakeholders. Highly... ...in the bonus and equity programs. You will also...Employment EquitySeniorTemporary workWork at officeImmediate startRemote workFlexible hoursDormont Manufacturing Company
New York, NY3 days ago- ...professional to oversee the preparation and review of financial statements for private equity funds. The successful candidate will manage investor reporting, lead audit processes, and ensure compliance with regulatory requirements. Candidates should have over 7 years of fund...Employment EquitySenior
$122.5k - $148.45k
...world. We are looking for a Senior Controls Engineer to join us in one... ...and drawings, identifying compliance issues, coordination... ...input and supporting senior leads in client engagement and decision... ...-cultural working to gender equity and LGBTQ+ and disability inclusion...Employment EquitySeniorFor contractorsWork at officeRemote workFlexible hoursArup
New York, NY3 days ago- ...We are seeking an experienced Senior Compliance Officer to support the firm's Equity Research business and serve as a trusted advisor to business leaders, Legal... ...will play a critical role in overseeing the firm's Control Room and Information Barrier framework, ensuring...Employment EquitySenior
Phyton Talent Advisors
New York, NY4 days ago $146.8k - $272.6k
...forefront of applied research in an industry... ...innovate industry-leading solutions for Legal... ...About the Role As a Senior Applied Scientist,... ..., or regulatory compliance. You will translate... ...given to internal equity. Base pay is one... ...making interview rooms accessible, providing...Employment EquitySeniorWork at officeLocal areaFlexible hours2 days per week3 days per weekThomson Reuters
New York, NY4 days ago$88 per hour
...New York State/Province New York 10020 Job Description Senior Compliance Officer | Equity Research Compliance BizTek People is seeking a Senior... ...experienced Senior Compliance Officer with deep expertise in Control Room Compliance, Equity Research Compliance, Information...Employment EquitySeniorContract workImmediate startRemote workAPA International
New York, NY2 days ago$80 - $88 per hour
...Seeking an experienced Senior Compliance Officer to support the Control Room/Equity Research Compliance function. This role will serve as the subject matter expert on Information Barriers, advise Equity Research and Investment Banking teams on regulatory compliance, manage...Employment EquitySeniorRussell Tobin
New York, NY4 days ago$125k
Senior Quantitative Researcher - Intraday Equities Alpha New York, New York, United States About the... ...researcher to lead our intraday equities alpha... ...CC-305 Page 1 of 1 OMB Control Number 1250-0005 Expires... ...Office of Federal Contract Compliance Programs (OFCCP) website...Employment EquitySeniorContract workTemporary workFor contractorsFor subcontractorH1bWork at officeWork visa$56.31 - $76.19 per hour
...Wilson Sonsini is looking for a Senior Paralegal to sit in our New... ...processes and records in equity management platforms, including... ...questions from clients Conduct research to prepare and manage... ...closing volume Assist with annual compliance matters Provide support for franchise...Employment EquitySeniorHourly payWork at officeWilson Sonsini
New York, NY1 day ago- ...customers unprecedented control over their deliveries... ...growing client list includes leading consumer brands like... ...players with generous equity and incredible career... ...entirety of our business. The Senior Manager of Strategic... ...earn your seat in the room as a trusted strategic...Employment EquitySeniorWork at officeFlexible hoursShift work
Veho Tech, Inc.
New York, NY4 days ago $146.8k - $272.6k
...Lead UX Researcher Role Summary: About the UX Team Come and join... ...consideration given to internal equity. Base pay is one part of a... ...legal, tax, accounting, compliance, government, and media. Our... ...interpreter, making interview rooms accessible, providing assistive...Employment EquityWork at officeLocal areaRemote workFlexible hours2 days per week3 days per weekThomson Reuters
New York, NY2 days ago- ...Senior Compliance Officer – Investec USA Investec USA's Compliance... ...with a focus on equity markets. Advise on U.S.... ...policies, procedures, and controls aligned to U.S. regulatory... ...Advisory, Control Room, Surveillance, IT, Operations, Research and third‑party Compliance...Employment EquitySeniorWork at office
INVESTEC SERVICES INC
New York, NY4 days ago $171.5k - $201.5k
...rapidly evolving compliance and privacy... ...tooling, clean room technology, and... ...engagement: advising senior measurement... ...the people who control measurement budgets... ...data maturity Lead technical... ..., or published research Why You Might... ..., and internal equity among our team....Employment EquitySeniorWork from homeFlexible hoursShift workNight shift$159.18k - $295.62k
...them to your living rooms and the dreamers... ...Role We're seeking a Senior Machine Learning... ...a blend of strong research skills,... ...your request. In compliance with local law, we... ...market data, internal equity, location, skill set... ...with Discovery's leading non-fiction and international...Employment EquitySeniorFull timeTemporary workLocal area$95k - $115k
...Senior Financial Analyst US-NY-New York Job ID: 2026-15733 Type:... ...term liabilities for others. Research new accounting guidance and apply... ...improvements. Perform compliance reviews for spending with donor... ...training, key skills, internal peer equity, as well as, market and...Employment EquitySeniorWork experience placementWork at officeFlexible hoursAmerican Association for Public Opinion Research
New York, NY3 days ago$162k - $275k
...Base Salary $162K – $275K - Offers Equity The final compensation will depend... ...to life. That's you. We're hiring a Senior Tech and Product Communications Lead to own how Ramp shows up across two... ...the team. Get Ramp into the right rooms and the right publications. Build relationships...Employment EquitySeniorFull timeRAMP
New York, NY14 hours ago- A leading technology firm is looking for a Privacy Compliance Director to lead privacy compliance programs including GDPR and CCPA/CPRA. You will coordinate with... ...offers competitive compensation, benefits, and an equity opportunity. #J-18808-Ljbffr CYBEXO INC.®...Employment EquitySeniorWork at office
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Control Room & Equity Research Compliance Lead. Be the first to apply!
Related searches
- senior trade analyst New York, NY
- senior app developer New York, NY
- senior customer service advisor New York, NY
- senior international account manager New York, NY
- senior product manager mobile New York, NY
- senior magento developer New York, NY
- senior quantitative risk analyst New York, NY
- senior business development director New York, NY
- sr marketing manager New York, NY
- sr technical product manager New York, NY