Compliance Analyst
RBC
RBC Global Asset Management seeks an Investment Policy 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 policy frameworks, advise on regulatory restrictions, and oversee CRIMS-related controls to mitigate breaches, while supporting audits and performance monitoring. #J-18808-Ljbffr
$120k - $160k
Where Fintech Innovation Meets Data, Compliance & Career GrowthJoin a global fintech leader that is redefining the future of financial... ...operational excellence.We’re looking for a Senior Compliance Data Analyst to join a highly collaborative team working at the...Suggested- ...Governance efforts.Responsibilities:The Senior ComplianceData Analyst’s primary focus will be to:Support the continued adoption of the... ...data qualityProduce source to destination data maps for AML compliance reports and systemsDesign periodic and adhoc supervisory reports...SuggestedTemporary workWork at officeRemote work
- ...NewEdge Wealth, a division of NewEdge Capital Group, LLC, seeks a Compliance Associate to support the firm’s investment adviser compliance program, focusing on marketing and advertising review under the SEC Marketing Rule and the annual review under Rule 206(4)-7. The...Suggested
$80k - $100k
...Structure Arbitrage, Event-Driven Investing, Equity Long/Short & Capital Markets Trading, and Global Quantitative Trading. Title: Compliance Analyst Location: New York, NY or Greenwich/Norwalk, CT Desired Years of Experience: 0-3 years Summary We are seeking a Compliance...Suggested- ...ROLE ARGA Investment Management, LP seeks a motivated compliance professional to join the compliance department in our Stamford, CT office. This individual will report directly to the Chief Compliance Officer. JOB DESCRIPTION Responsibilities include, but are not limited...SuggestedWork at office
$125k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm’s compliance policies, providing real-time advice...Work experience placement- 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
- Request ID: 119879-1 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...Contract work
$60 - $65 per hour
...financial institution seeking a Regulatory Reporting Business Analyst (Technical) with strong AxiomSL experience to support both US... ..., and debugging of reporting updates Produce documentation in compliance with regulatory expectations Support training for US and EU regulatory...Contract work$55 per hour
...FIU Analyst (Contractor)Our client, a financial services organization, is seeking a FIU Analyst to join their team. As a FIU Analyst... ...transaction monitoring alertsPrepare SAR narratives and maintain compliance documentationEscalate high-risk or complex compliance...Temporary workFor contractors- ...and data breaksCollaborate with Treasury, Liquidity Risk, Finance, and IT teamsMaintain reporting controls, procedures, and data dictionariesRequired SkillsRegulatory ReportingFR 2052aFDIC ReportingRisk & Regulatory Compliance AnalyticsData Analysis & Reconciliation...
- ...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
$130k - $150k
...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 services...Full timeWork at officeLocal area$145k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm’s compliance policies, providing real-time advice...- ...solutionsPrepare and review filing responses for multiple regulators and ensure submissions meet regulatory standardsCollaborate with our Compliance, Tax, Legal, Finance, Technology, and Operations teams to align requirements, resolve issues, and deliver complete filingsPartner...Work at office
- ...services. We are in search of a highly motivated candidate to join our talented Team. Job Title: Supplier Diversity Contract Compliance Analyst. Location: White Plains, NY. Project Overview:This role will support the Supplier Diversity program, specifically as it...Contract work
- A technology consulting firm in White Plains, NY is seeking an Ethics & Compliance Staff Analyst to support department operations and program coordination. The ideal candidate will be highly proficient in Microsoft Office Suite, possess exceptional communication skills...Work 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 Compliance Officer role at Millennium Provide ongoing compliance support to WorldQuant Millennium Advisors (“WMA”) Conduct ongoing...Full time
- ...Prepare and review filing responses for multiple regulators and ensure submissions meet regulatory standards Collaborate with our Compliance, Tax, Legal, Finance, Technology, and Operations teams to align requirements, resolve issues, and deliver complete filings...Work at office
$125k - $170k
...role offering exposure to world-wide markets, as well as to senior management, be appealing to you? If so, this Cybersecurity - Compliance Advisor opportunity could be for you.What Employees Are Saying: “You’re working with some of the smartest people in cybersecurity...Worldwide$119k - $218.3k
...asset-specific capabilities.Monitor market trends and regulatory developments to provide clients with up-to-date perspectives on compliance obligations and industry best practices.Collaborate with cross-disciplinary teams to help organizations achieve T+0, 24/7 settlement...Work at office- ...experience working in financial services, or similar regulated environment.Responsibilities:The role’s primary focus will be to:Support compliance coverage of the firm’s technology enterpriseDesign testing and complete reviews for Cyber, information security, and privacy...Temporary workWork at officeRemote work
- The Compliance Manager supports the implementation and ongoing enforcement of the Company’s compliance program, with a primary focus on global trade regulations and a secondary focus on U.S. federal contract requirements. This role demands an unwavering commitment to the...Full timeContract workCasual workWork at officeWeekend workAfternoon shift
$134.5k - $265.1k
...to mentor and provide clear guidance to others The Team Our Regulatory & Financial Risk offering supports clients' regulatory and compliance needs, balancing risk and regulatory requirements with enhancing business value and optimizing outcomes. We deliver enhanced...Work at officeVisa sponsorship$190k - $215k
If you are unable to complete this application due to a disability, contact this employer to ask for an accommodation or an alternative application process. Chief Advancement Officer Full Time Greenwich, CT, US 5 days ago Requisition ID: 1452 Position Chief Advancement...Full timeWork at officeLocal area$150k - $175k
About the RoleiCapital is looking for a Vice President candidate to join its Regulatory and Compliance team to work with senior members of the Compliance team. The candidate will be responsible for ensuring compliance with AML regulatory requirements within the United...Full timeWork at officeRemote work$350k - $400k
...The Chief Risk Officer (CRO) is a newly created role, as we establish a formal second line of defense, bringing Regulatory & Compliance, Enterprise Risk & Governance and Safety, Resilience & Incident Management together under one risk structure. The successful candidate...Full timeWork at officeRemote work- Description As a Liberty Mutual Pricing Reinsurance Actuary, you'll use your analytical talents to resolve thought-provoking business problems and bring value to our customers. You'll work in a collaborative and dynamic work environment where the challenges are on-going...Local areaRelocation package
- ...The Compliance Manager supports the implementation and ongoing enforcement of the Company’s compliance program, with a primary focus on global trade regulations and a secondary focus on U.S. federal contract requirements. This role demands an unwavering commitment to...Contract work
$300k
...including reputational, regulatory, governance, and credit risk considerations. The team partners closely with deal teams, legal, compliance, and senior risk leadership to ensure that transactions are thoroughly vetted and approved through appropriate governance...Full timeLocal areaFlexible hours
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