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- ...City of New York’s Comptroller’s Office seeks a Compliance Officer in the Bureau of Asset Management to monitor regulatory compliance across the department and with external managers and consultants in the financial services industry. The role involves due diligence on...AssetWork 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 Officer (Bureau of Asset Management) City of New York New York City, New York, United States Full-time 8 days ago The New York City Comptroller... ...and implement policies and workflows to monitor regulatory compliance both within the Bureau and with the Systems...AssetFull timeWork at office
$85k - $145k
...COMPLIANCE SPECIALIST SENIOR WEALTH MANAGEMENT WHAT IS THE OPPORTUNITY? The Compliance Specialist... ...program to ensure regulatory compliance for Bank Wealth... ...(RNDIP), Regulation R, associated investment products and... ...Qualified Professional Asset Manager (QPAM) requirements...AssetRemote work$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- 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
$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...AssetFull timeContract workWork at office- ...is searching for an Regulatory Affairs Consultant Hybrid... ...‑to‑end registration compliance and consistency.... ...Interface with trade associations and health authorities... ...most valuable company asset and they are the fulcrum... ...are built and close management and training is the...AssetContract workLocal area
- ...alike. Your Team The Compliance Specialist for Lead Hazard Control... ...Office of Compliance & Risk Management (CRM). This Office includes... ...(federal, state, and city), regulatory requirements, policies, and... ...Access & Stability (HAS), Asset & Property Management (APM),...AssetFull timeH1bWork at officeLocal areaRemote workFlexible hours2 days per week
- 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
$115k - $135k
Company Overview Soros Fund Management LLC (SFM) is a global asset manager and family office founded by George... ...-oriented and proactive Junior Compliance Analyst to join its New York-based... ...adherence to firm requirements Coordinate regulatory filings with the Federal Reserve,...AssetPermanent employmentWork at office$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$70k - $150k
...Investigations, Diligence and Compliance - Specialist practice is seeking an Associate Manager based in the U.S. This is a wide... ...performing financial analysis, asset tracing and recovery, evaluating... ..., forensic accounting, regulatory compliance, internal (client) investigations...AssetTemporary workInterim roleFlexible hours$85k - $140k
...prevents, detects and mitigates compliance, regulatory and reputational risk... ...enterprise-wide compliance risk management program. As an independent... ...regulatory landscape.Asset Management (“AM”) ComplianceWe... ...ComplianceWe are seeking a compliance Associate to join the AM Compliance...AssetFull timeTemporary workPart time$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$150k - $175k
...is looking to hire a Compliance Officer to oversee the... ...and advise on regulatory developments affecting... ...Advise Product, Portfolio Management, Operations, and other... ...dealing with matters associated with Rule 38a-1 under... ...other alternative assets and FINRA rules/regulations...AssetFull timeWork at officeRemote work$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$66.3k - $70k
...development, finance, construction and asset management of new and rehabilitated multi-family... ...to its development communities. The Compliance Specialist will play a key role in the... ...School Diploma or GED. Bachelor’s or associate Degree preferred. Three-five years...AssetLocal areaWork visa$130k - $150k
...global alternative investment management firm focused on pursuing... ...private markets, across all major asset classes, with a significant... ...This role sits in the Compliance team based in NY and to work... ...policies and procedures Conduct regulatory analysis of new rules and...AssetLocal areaFlexible hours$135k - $160k
...level opportunity within New York Life’s Compliance department. The AML Compliance Officer... ...transaction monitoring, training, and regulatory readiness, while taking meaningful... ...of affiliated U.S. and international asset management businesses. We are a collaborative team...AssetLocal areaImmediate start3 days per week$77k - $202k
...Specialism Cybersecurity & Privacy Management Level Senior Associate Job Description & Summary... ...- Tech and Cyber Risk & Compliance - Senior Associate, you will focus on maintaining regulatory compliance and managing... ..., handling proprietary assets, or collaborating closely...AssetH1b$90k - $200k
...Investigations, Diligence and Compliance practice is seeking a Senior Manager based in the U.S. This... ..., forensic accounting, regulatory compliance, including... ...and review the quality of Associates, Associate Managers, and... ...fraud examiner an asset. Minimum 8 years’ investigative...AssetTemporary workFlexible hours- A top-tier investment management firm is looking for a full-time Compliance Analyst in New York City. The ideal candidate... ...within an Investment or Asset Manager. Key responsibilities include... ...adherence to client guidelines and regulatory requirements. This opportunity includes...AssetFull time
$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... ...plus Seniority Level Associate Employment Type Full...AssetFull time$40 - $60 per hour
...investment firm with nearly $300 billion in assets under management is seeking an Associate to join its Real Estate Legal & Compliance team. This role offers the opportunity to... ...business activities for adherence to regulatory requirements, internal policies, and industry...AssetWork experience placementWork at office$120k - $175k
Senior Compliance Associate, Registered Funds (New York, NY): Our client, a leading diversified asset management firm with over $50B in AUM, is seeking a high-caliber Compliance Associate... ...surveillance to ensure adherence to regulatory requirements, client mandates, and...Asset- 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
$50k - $70k
...world, with over $3 trillion in assets and a footprint that spans... ...is responsible for: Ensuring compliance with consumer laws and regulations... ...Head of Consumer and Bank Regulatory Compliance. Ensure accurate... ...(CCC) Secretariat Organize, manage, and coordinate the general operation...AssetInternshipWork at office
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