Asset Management Regulatory Compliance Associate
BCG Attorney Search
BCG Attorney Search in New York, NY seeks an Asset Management Associate to join the Regulatory & Enforcement practice. The ideal candidate will have three to six years of experience advising investment advisers, including private fund advisers, on regulatory and compliance matters under federal securities laws. This role focuses on advising investment advisers on regulatory compliance, providing guidance on federal securities laws, and supporting broker-dealer regulatory matters as needed. #J-18808-Ljbffr BCG Attorney Search
$92.11k - $156.88k
...investment research, portfolio management, macroeconomic outlook and strategic asset allocation to help clients... ...subsidiary of City National Bank. REGULATORY ASSOCIATE INVESTMENT MANAGEMENT WHAT... ...also facilitate reviews by compliance, internal audit and external regulators...AssetRemote work- ...Expertise to JPMorganChase. As part of Risk Management and Compliance, you are at the center of keeping... ...striving to be best-in-class.As a Regulatory Strategy Officer within the Governance... ...financial transaction processing and asset management. We offer a competitive...AssetWork at office
- ...the most successful investment management launches in recent years, is seeking a Compliance Associate to become the firm’s first... ...firm has more than doubled its assets under management and continues... ...vendor diligence, proxy voting, regulatory filings, compliance testing, and...AssetSummer workWork from home
- ...Compliance Officer (New York, NY): Our client is a well-established alternative asset management firm with approximately $8b in AUM is seeking a dedicated Compliance Officer to... ...include: Assist with the preparation of regulatory filings, including Form ADV and Form PF...Asset
$75k - $85k
...Compliance AnalystOppenheimer & Co. Inc. is seeking a Compliance Analyst to join the Compliance team supporting Oppenheimer Asset Management ("OAM") in New York. This role supports the firm's compliance... ...testing and monitoring, regulatory filings, policy and procedure...AssetWork at office$100k - $135k
...Overview Compliance Analyst/Associate (New York, NY): A leading private equity firm with more than $5B in assets under management is seeking a Compliance Analyst or Associate to join its team... ..., testing, contract review, and regulatory initiatives. High visibility and growth...AssetFull timeContract workWork at office- ...One of our highly reputable Alternative Asset Management clients currently seeking to add an... ...their growing Alternative Investments Compliance Team. Ideal candidate will be working... ...Fund Marketing, Legal, Compliance, and Regulatory. Ideal candidate will be a pure Compliance...Asset
- ...Compliance Associate (New York, NY): Our client, the asset management business (over $50B in assets across a variety of strategies) of a diversified financial services... ...and surveillance program, as well as prepare regulatory reports and testing documentation Acquire a...AssetFull time
$85k - $145k
...COMPLIANCE SPECIALIST SENIOR WEALTH MANAGEMENT WHAT IS THE OPPORTUNITY? The Compliance Specialist... ...program to ensure regulatory compliance for Bank... ...(RNDIP), Regulation R, associated investment products and... ...Qualified Professional Asset Manager (QPAM) requirements...AssetRemote work$100k - $145k
...A full-service investment bank and asset management firm focusing on technology and healthcare... ..., is currently looking to hire a Compliance Associate with 1 - 5 years of compliance... ...the timely and accurate filing of all regulatory reports; Assist in the review of marketing...AssetFull timeCurrently hiringRemote workFlexible hours- Office of the New York City Comptroller is seeking a Compliance Officer in the Bureau of Asset Management to identify and implement regulatory-compliance policies and monitoring workflows for private markets and external managers. The role supports the Chief Compliance...AssetWork at office
$119k - $218.3k
...Senior Consultant - Risk, Regulatory, & Licensing - Digital Assets Regulatory & Financial... ...practice combines risk management, advanced regulatory knowledge... ...to-date perspectives on compliance obligations and industry... ...lifecycle events, and associated process flows.Deep...AssetWork at office- ...detail-oriented Leasing and Compliance Officer to assist leasing... ...maximizing occupancy, maintaining regulatory compliance, and serving as a... ...eligibility, income, assets, student status, and other program... ...Assist with agency audits, management reviews, file inspections,...AssetInterim roleWork at officeLocal area
$42k - $90k
...world, with over $3 trillion in assets and a footprint that spans more than... ...role in Front Line Unit (“FLU”) compliance oversight, regulatory change management and compliance risk metrics... ...Compliance related experience for Associate level. 0-3 years of experience in...AssetBank staffWork at officeFlexible hours- ...JPMorganChase's Firmwide Regulatory Reporting & Analysis... ...Reporting & Analysis Associate on the U.S. Regulatory... ...Capital and Risk-Weighted Assets under Basel III... ...process improvements and manage quarterly and CCAR post... ...Controllers to ensure compliance, and lead the Basel...AssetWork at office
- ...energy suppliers, developers, asset owners, and investors across North... ...delivers market intelligence, regulatory and market design support, asset and portfolio management, retail market operations, and... ...is seeking a Renewable Compliance Analyst to provide support on...AssetWork experience placementFlexible hours
- ...FCM, Tokenization & Stablecoin Compliance Officer About the Company... ...expert guidance on complex regulatory matters, and ensuring the firm... ...hands-on experience with digital asset regulatory compliance. The... ...firm's success. Hiring Manager Title Chief Compliance Officer...Asset
$120k - $140k
...Description AVP, Fixed Income Compliance Officer Location: New York,... ...the broader team on regulatory and advisory matters. Key Responsibilities... ..., dashboards, trackers, and management information used to monitor... ..., research, and wealth and asset management services. With...AssetFull timePart timeLocal area- Brookfield Asset Management LLC seeks a corporate paralegal to support the Legal & Regulatory team in New York, focusing on real estate lending and loan closings. The role... ...emphasizes meticulous records management, regulatory compliance, and coordination with executives. The...Asset
- ...homeowners alike. Your Team The Compliance Specialist for Lead Hazard... ...Office of Compliance & Risk Management (CRM). This Office includes... ...(federal, state, and city), regulatory requirements, policies, and... ...Housing Access & Stability (HAS), Asset & Property Management (APM),...AssetFull timeWork at officeLocal areaRemote workFlexible hours2 days per week
$70k - $150k
...Associate Manager, Financial InvestigationsKroll's North American Investigations, Diligence and Compliance - Specialist practice is seeking an Associate Manager... ...financial analysis, asset tracing and recovery,... ...investigations, forensic accounting, regulatory compliance, internal (...AssetTemporary workInterim roleFlexible hours$65 - $80 per hour
...from Mission Staffing Our client, a leading asset management firm based in Midtown, NYC, is looking to add a Tax and Compliance professional to their team. This candidate... ...Compliance; Policies and Standards Office Regulatory Affairs Compliance Sr. Specialist VP AML /...AssetFull timeContract workWork at office$50k - $70k
...the world, with over $3 trillion in assets and a footprint that spans more than... ...preparation, coordination, submission and management of regulatory data, reports and requests. Other... ...matters. Assist with the evaluation of compliance with regulatory policy and procedures...AssetWork at office- ...JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of... ...best-in-class.As a Senior Associate, Full Stack Software... ...evolving priorities, tools, and regulatory/business requirements while... ...transaction processing and asset management. We offer a competitive...AssetContract work
- ...Description: Please Note: This is a Compliance Specialist Role Title: Risk and Controls Implementation Specialist Summary: A resource with asset-management and regulatory experience who will focus on translating the control assessment and work taxonomy...Asset
$80k - $90k
...Compliance Analyst • Social Capital Resources • NYC Top‑Tier Investment Management Firm in NYC is seeking a full‑time Compliance... ...guidelines and regulatory requirements. Assist... ...at an Investment or Asset Manager is a plus Knowledge... ...Seniority Level Associate Employment Type Full...AssetFull time$104k - $177k
...Senior Vice President, Consumer Compliance Officer - Global Payments &... ...an aptitude for assessing regulatory consent orders, enforcement actions... ...In partnership with business managers and internal stakeholders,... ...0% of the world’s investible assets. Every day, our teams harness...AssetTemporary workWorldwideFlexible hours$90k - $125k
...trust services and investment advisory and asset management services.Job Description:Oppenheimer & Co. Inc. is seeking a Compliance Professional to join our Compliance... ...registered investment funds, as well as the regulatory landscape of investment advisers and broker...AssetWork experience placement- ...One of our highly reputable Alternative Asset Management clients currently seeking to add an Associate to their growing global Compliance Team. Ideal candidate will be working very... ...but limited to Legal, Compliance, and Regulatory. This individual will also be responsible...Asset
$100k - $120k
...Overview Apollo is a high‑growth, global alternative asset manager. In our asset management business, we seek to... ...management. Apollo is seeking an Analyst or Associate to join the Compliance team within Legal, Regulatory, Tax & Compliance. This role will support the firm...Asset
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