Regulatory Compliance Specialist
Atlas Search
Atlas Search is seeking a Regulatory Reporting Associate to join our Regulatory and Compliance team in Greenwich, CT. You will work closely with leadership on regulatory filings and reporting activities across U.S. and international filings such as Form ADV, Form PF, BE-185, and Regulation D. You will liaise with business teams to collect data, develop procedures for filings, monitor regulatory developments, inform senior management, and collaborate with stakeholders to improve data quality and #J-18808-Ljbffr
- A Career with Point72's Regulatory Reporting TeamThe Regulatory Reporting team provides governance across all regulatory filings and related... ...submissions meet regulatory standardsCollaborate with our Compliance, Tax, Legal, Finance, Technology, and Operations teams to...SuggestedWork at office
$130k - $150k
...help you reach your potential, but also to contribute to our clients’ success.About the DepartmentFranklin Templeton’s Global Regulatory Compliance department provides oversight, guidance and monitoring of the various teams who market Franklin Templeton’s products and...SuggestedFull timeWork at officeLocal area- ...iCapital is seeking a Regulatory Reporting Associate to join its Regulatory and Compliance team in Greenwich, CT. This role will collaborate with the VP of Regulatory Reporting and Co-Chief Compliance Officers on a range of filings and compliance matters. You will collect...Suggested
- ...NewEdge Wealth, a division of NewEdge Capital Group, LLC, seeks a Compliance Associate to support the firm’s investment adviser compliance... ...SEC standards. Responsibilities include reviewing materials for regulatory compliance, maintaining tracking logs, #J-18808-Ljbffr...Suggested
- ...We are searching for an experienced Regulatory and Compliance Specialist at our Connecticut office. Regulatory Compliance Specialist Full Time Norwalk, CT About The Company Wilton Re is an industry leader in the life (re)insurance space, specializing in the acquisition...SuggestedHourly payFull timeWork at office
- ...Join to apply for the Senior Compliance Officer role at Millennium 1 week ago Be among the first 25 applicants Join to apply for the Senior... ...WMA funds and separately managed accounts (“SMAs”) Monitor regulatory changes, updates and industry-wide compliance initiatives...Full time
- ...Regulatory Reporting Specialist Stamford, CT A Career with Point72's Regulatory Reporting Team The Regulatory Reporting team provides... ...submissions meet regulatory standards Collaborate with our Compliance, Tax, Legal, Finance, Technology, and Operations teams...Work at office
$125k - $170k
...management, be appealing to you? If so, this Cybersecurity - Compliance Advisor opportunity could be for you.What Employees Are Saying... ...Advisor will sit at the intersection of cybersecurity, risk, and regulatory compliance, helping ensure the integrity and security of a...Worldwide$120k - $160k
Where Fintech Innovation Meets Data, Compliance & Career GrowthJoin a global fintech leader that is redefining the future of financial... ...solutions. At Interactive Brokers, compliance is more than a regulatory function — it’s a strategic driver of trust, growth, and operational...$119k - $218.3k
Position Summary Senior Consultant - Risk, Regulatory, & Licensing - Digital Assets Regulatory & Financial Risk Ready for a fast... ...developments to provide clients with up-to-date perspectives on compliance obligations and industry best practices.Collaborate with cross...Work at office- This is Hybrid role (4 days in office /1 day remote)We are seeking a highly motivated Regulatory Reporting Operations Analyst to join our Compliance team. This role is pivotal in ensuring the accuracy, completeness, and timeliness of all regulatory reporting obligations...Work at officeRemote work
- ...execute FR 2052a Liquidity ReportingPrepare and validate FDIC regulatory reports (12 CFR 369 & 12 CFR 370)Data sourcing, mapping, and transformation... ...SkillsRegulatory ReportingFR 2052aFDIC ReportingRisk & Regulatory Compliance AnalyticsData Analysis & Reconciliation...
- ...Role Name - Regulatory Reporting Analyst Stamford, CT/Remote ROLE_DESCRIPTION - Experience in Capital Management at top-tier... ...practices (2052A/6G), strengthening operational quality standards and compliance readiness Experience in manual FP&A Reg Reporting Experience...Remote work
- ...Work NJ 2025. Position Summary The Environmental Land-Use Regulatory Specialist must be agile, have well developed technical and analytical... ...and deliberate manner; and assure procedural and regulatory compliance. This position involves both office and field work and can...Work at officeLocal areaRemote work
$145k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading team of compliance professionals who support... ...and manage trading-related compliance projects driven by regulatory change or internal initiatives from scoping through deliveryInvestigate...$125k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading team of compliance professionals who support... ...to implement and enhance compliance solutionsAssist with regulatory readiness efforts and contribute to responses to regulatory inquiries...Work experience placement$72k - $141k
...abilities of all employees are used to their fullest potential. The Compliance Senior Consultant is a strategic individual contributor role... ...capabilities, advancing key compliance programs, enhancing regulatory responsiveness, and facilitating compliance assessment and...Full timeWork experience placementWork at office- ...Regulatory Affairs SpecialistWhy Join Us?At LBB Specialties, we are dedicated to empowering innovation, building meaningful relationships... ...forefront of our industry.Your ImpactAs a Regulatory Affairs Specialist, you will be responsible for assisting the Regulatory Affairs...Flexible hours
$80k - $100k
...Capital Markets Trading, and Global Quantitative Trading. Title: Compliance Analyst Location: New York, NY or Greenwich/Norwalk, CT... ...business practices adhere to internal ethical standards as well as regulatory requirements. This entry-level position is ideal for...- ...an alternative application process. BSA Compliance Officer Chester, VA, US 1 Attachments 8... ...and execution of legal and regulatory requirements that impact multiple systems... ...enforcement agencies. Collaborate with the Fraud Specialists Role and all other departments of the...
$47k - $78k
...potential.Job DescriptionUnder broad supervision, responsible for compliance-related components of internal controls, such as regulations,... ...compliance mechanisms and protocols, internal controls and regulatory compliance policies and procedures and methodology to measure...Work experience placementWork at office$165k - $275k
...Regional Compliance Officer We're seeking someone to join our team as a Regional Compliance Officer in WM Field Compliance to engage... ...by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Executive Director level...Temporary workWork experience placement- ...A financial services firm in Old Greenwich is seeking a Senior Compliance Officer to provide compliance support and conduct reviews for their investment management activities. The successful candidate will have over 12 years of experience in compliance, ideally with a...Full time
- ...consulting firm based in White Plains, NY, is seeking a Senior Compliance Consultant to join their growing firm. The ideal candidate... ...reports. Experience monitoring compliance programs, preparing regulatory filings, and reviewing marketing and investor materials is required...
- ...ROLE ARGA Investment Management, LP seeks a motivated compliance professional to join the compliance department in our Stamford, CT office... ...compliance rules in Order Management System Assist with regulatory filings (Section 13, Form PF, Form ADV, etc.) Review/approve marketing...Work at office
- ...A Career with Point72's Compliance Team The Point72 Compliance department is an industry-leading team of compliance professionals who... ...Execute and manage trading-related compliance projects driven by regulatory change or internal initiatives from scoping through delivery...
- ...Analyst to join the U.S. team, reporting to the Investment Policy Manager. You will help ensure investment activities comply with regulatory requirements and internal guidelines, focusing on portfolio adherence, front-office advisory, and trade support. You will design...
- ...strengthen data qualityProduce source to destination data maps for AML compliance reports and systemsDesign periodic and adhoc supervisory... ...potential compliance mattersAssist coordinate responses to regulatory inquiries from foreign and US regulatorsDraft and implement firm...Temporary workWork at officeRemote work
- ....Responsibilities:The role’s primary focus will be to:Support compliance coverage of the firm’s technology enterpriseDesign testing and... ...surveillance and compliance tools.Assist coordinate responses to regulatory inquiries from foreign and US regulators.Draft and implement...Temporary workWork at officeRemote work
- ...Start/End Dates: 6/1/2026 - 6/30/2026 Work Location: Stamford, CT 06903 Job Title: IT - Technology Lead | Regulatory Reporting | Regulatory Reporting System Job Description: Job Title Technology Lead | Regulatory Reporting | Regulatory Reporting...Contract work
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