Hybrid Senior Regulatory Compliance Associate — SEC & Exams
IQ-EQ
IQ-EQ in New York is seeking a Compliance Consultant to develop and test compliance programs for clients in the alternative and traditional investment sectors, including private equity, hedge funds, and venture capital, while supporting regulatory exams and outsourced CCO functions. You will advise clients on compliance with key U.S. securities laws, assist during examinations by SEC, NFA, and state boards, and design training programs to enhance ongoing regulatory readiness and internal #J-18808-Ljbffr IQ-EQ
Vacancy posted 1 day ago
Similar jobs that could be interesting for youBased on the Hybrid Senior Regulatory Compliance Associate — SEC & Exams in New York, NY vacancy
$109.3k - $182.1k
...Location: This is a hybrid position requiring... ...: Complete Compliance Risk Management activities... ...and mitigate regulatory and compliance risk... ...employee conduct, and associated supervisory... ...Federal Reserve, OCC, SEC, DOL, FINRA, CFPB,... ...Business line and senior management in assigned...SeniorWork experience placementWork at office- ...finance organization is seeking a Senior Accountant in New Jersey. The... ...accounting, expertise in SEC reporting, and strong knowledge of GAAP. This hybrid role will involve preparing... ...close activities, and ensuring compliance with regulatory requirements. The...Senior
- Senior Regulatory Reporting Analyst, Long Island City City, NY, Tampa or Charlotte, NC (Hybrid) Contract Duration: 8+ Months Required Skills & Experience 10+ years of extensive experience... ...to Basel III capital regulations, GAAP/SEC Reporting and stress testing frameworks...SeniorContract work
$88 per hour
...York 10020 Job Description Senior Compliance Officer | Equity Research Compliance... ...: Midtown, NYC Schedule: Hybrid preferred (2 days onsite / 3... ...Barrier governance, regulatory compliance, and Control Room... ...assignments. Stay current on SEC, FINRA, and other regulatory...SeniorContract workImmediate startRemote workAPA International
New York, NY1 day ago- ...Flexible paid time off Hybrid work schedule 401(... ...is an Advisory Compliance function that... ...protect Invesco from regulatory, reputational, and... ...About the role: The Senior Compliance Officer... ...environment (SEC, CFTC/NFA, FINRA,... ...Compliance Officer exam, or certification...SeniorFull timePart timeWork at officeFlexible hours
Dormont Manufacturing Company
New York, NY2 days ago $88.65 per hour
...Senior Compliance Officer - Equity Research Compliance (Control Room) Location... ...W2 Contract Schedule: Hybrid preferred (2 days onsite / 3... ...required. Respond to regulatory examinations and Internal... ...regulations, including: SEC Section 15(g) of the Securities...SeniorContract workLocal areaRemote workFlexible hoursPride Global
New York, NY2 days ago$150k - $200k
...Franklin Templeton Compliance Role At Franklin Templeton... ...to applicable regulatory requirements and internal... ...compliance with applicable SEC regulations, Investment... ...The position will work a hybrid schedule in one of our... ...discretionary bonus. #MID_SENIOR_LEVEL At Franklin...SeniorLocal area3 days per weekFranklin Resources, LLC.
New York, NY5 days ago$81k - $110k
New York Life is seeking a Suitability Compliance Senior Associate in New York, NY. In this hybrid role, you will conduct reviews of new and replacement sales for life insurance, annuities, and mutual funds. Your expertise will support compliance standards while assisting...Senior- ...engineers to test their theories. The role requires a degree in a technical or quantitative discipline and skills in programming languages such as C, C++, Java, or Python. Employees enjoy comprehensive benefits plus a hybrid work policy. #J-18808-Ljbffr Quant Blueprint LLCSenior
- Williams, located in Georgia, is seeking a Rate Analyst to support regulatory, commercial, and financial objectives through detailed analysis... ...in interstate pipeline work. Williams offers strong pay, hybrid work options, and comprehensive benefits. #J-18808-Ljbffr Dormont...Senior
- ...as a subject matter expert on regulatory requirements impacting SPG, including... ..., and other applicable FINRA, SEC, FRB, and OCC rules. Execute and support day-to-day compliance activities related to... ...assessments and support regulatory exams, audits, and inquiries....SeniorWork experience placement
$103.7k - $155.5k
Regulatory Compliance Risk Senior Associate (Banking) Hybrid Role locations: Dallas, NYC, Charlotte, Philadelphia, Arlington, Phoenix As a Regulatory Compliance Risk Senior Associate, you will get the opportunity to grow and contribute to our banking clients' business...SeniorFull timeWork experience placementWork at office2 days per week- ...into the CCO and cover Central Compliance function for the firm... ...of Ethics, Personal Trading, Regulatory Filings, Policies and Procedures... ...Procedures, Assisting with Regulatory Exams and Inquiries. The ideal... ...4+ years of experience at an SEC regulated asset manager or...SeniorWork at office
TBG | The Bachrach Group
New York, NY1 day ago - ...We are seeking an experienced Senior Compliance Officer to support the firm's Equity Research business and serve as a trusted... ...Information Barrier framework, ensuring compliance with SEC, FINRA, and internal regulatory requirements. The ideal candidate will have deep...Senior
Phyton Talent Advisors
New York, NY2 days ago - ...Senior Compliance Officer/Deputy CCO to become CCO (New York, NY): Our client, a growing hedge... ...other external materials Assist with regulatory filings and ongoing reporting obligations... ...updates Support preparation for SEC exams, investor diligence requests, and internal...SeniorWork at officeWork from home
Landing Point
New York, NY2 days ago - ...Responsibilities Manage day-to-day operations of the compliance program, including maintaining policies,... ..., and due diligence questionnaires for regulatory compliance Support regulatory filings,... ...fund, or asset manager Familiarity with SEC regulations applicable to registered...Senior
JW Michaels & Co.
New York, NY3 days ago $80 - $88 per hour
...Seeking an experienced Senior Compliance Officer to support the Control Room/Equity Research Compliance... ...and Investment Banking teams on regulatory compliance, manage wall crossings, maintain... ...preferred. Strong knowledge of MNPI, SEC regulations, FINRA Rules 2241/2242,...SeniorRussell Tobin
New York, NY2 days ago- ...Compliance Associate (New York, NY): Our client, the asset management business... ...program, as well as prepare regulatory reports and testing... ...comprehensive understanding of the SEC Marketing Rule to assist in... ...scopes Job Reference #2979397 Seniority level Seniority level Associate...SeniorFull time
Cardea Group
New York, NY2 days ago - ...Senior Compliance Officer – Investec USA Investec USA's Compliance Advisory... ...Provide day‑to‑day regulatory and policy advice to business... ....S. securities regulations (SEC, FINRA) and broker‑dealer obligations... ...to the Compliance Associate, fostering strong performance...SeniorWork at office
INVESTEC SERVICES INC
New York, NY2 days ago $160k - $175k
...Senior Compliance Officer II US B Regulatory Compliance We are looking for a Senior Compliance Officer to join our Compliance Team. The role may be based... ...courses related to the job posting, if necessary. Our hybrid work model benefit applies to certain positions and is...SeniorFull timeTemporary workPart timeSeasonal workWork at officeFlexible hoursPopular
New York, NY2 days ago$85k - $145k
...COMPLIANCE SPECIALIST SENIOR WEALTH MANAGEMENT WHAT IS THE OPPORTUNITY? The... ...compliance program to ensure regulatory compliance for Bank Wealth... ...(RNDIP), Regulation R, associated investment products and services... ...agencies, including exam management and other regulatory...SeniorRemote workCity National Bank
New York, NY4 days ago- Prosperity Life Group seeks a Senior Legal Services Specialist II to provide high‑level legal... ...governance, filings, research, and compliance while coordinating with attorneys and Compliance. The role emphasizes regulatory awareness, corporate and transactional experience...Senior
$160k - $175k
...A leading banking institution is seeking a Senior Compliance Officer to support its consumer regulatory compliance functions. Based in New York, NY or Miami Lakes... ...salary between $160,000 and $175,000, a flexible health plan, and a hybrid work model. #J-18808-Ljbffr...SeniorFlexible hoursPopular
New York, NY1 day ago- ...Technology, located in New York, NY, is seeking an Associate Regulatory Affairs Manager to manage global regulatory compliance in the beauty and personal care sector. This... ...regulations. The position offers an exciting hybrid work schedule with excellent benefits upon...
$88 per hour
BizTek People is seeking a Senior Compliance Officer for our client, a global financial institution... .... Location: Midtown, NYC. Schedule: Hybrid (2 days onsite / 3 days remote). Duration... ...compliance, supporting governance, regulatory compliance, and SME activities across the...SeniorContract workImmediate startRemote work$160k - $175k
Popular is seeking a Senior Compliance Officer II in New York City. This role involves supporting the consumer regulatory compliance functions for Popular Bank, ensuring that all activities... ...0 and a comprehensive benefits package in a hybrid work model. #J-18808-Ljbffr PopularSenior$96k - $181k
...Road, Brooklyn Ohio About the Job The Senior Compliance Officer, Horizontal Compliance is responsible... ...expose KeyCorp and its subsidiaries to regulatory, compliance, or reputational risks in... ...to internal and external audits, exams, and requests for information. Develop...SeniorWork at officeFlexible hours$175k - $200k
...transaction documentation and regulatory requirements. Develop, maintain, and enhance compliance policies and written... ...relationships with senior business leaders, serving... .... Support regulatory exams, audits or testing inquiries... ...understanding of SEC and FINRA rules and procedures...Senior- Compliance - Senior Compliance Officer - New Jersey New Jersey About us: Founded... ...leader to strengthen regulatory engagement discipline, drive... ...bodies, including NYDFS, FinCEN, SEC, CFTC, and state regulators,... ...to regulatory inquiries, exams, and audits. Draft and...SeniorLocal areaShift work
$140k - $180k
Mallinckrodt Pharmaceuticals is seeking an Associate Director of Government Pricing in a hybrid work environment. The successful... ...pricing calculations, ensure compliance with government regulations, and... ...in government pricing and regulatory compliance is required. This...Senior
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Hybrid Senior Regulatory Compliance Associate — SEC & Exams. Be the first to apply!
Related searches
- regulatory reporting analyst New York, NY
- legal compliance analyst New York, NY
- senior compliance analyst New York, NY
- regulatory compliance specialist New York, NY
- trade compliance specialist New York, NY
- contract compliance specialist New York, NY
- regulatory affairs consultant New York, NY
- regulatory affairs specialist New York, NY
- compliance coordinator New York, NY
- regulatory operations specialist New York, NY