Compliance Associate: Personal Trading & Policy Champion
Taylor Hodson, Inc.
Taylor Hodson, Inc. is seeking a Compliance professional to join the New York office and support its Compliance Team in administering personal trading policies and employee activities. The role requires strong organizational skills and meticulous attention to detail, working with a collaborative team to ensure policy compliance and timely responses. You will review disclosures, gifts, and pre-clearance requests, investigate conflicts, and respond to employee inquiries via phone and shared #J-18808-Ljbffr Taylor Hodson, Inc.
$132k - $167k
...products and services that support trading strategies, structures, and... ...Summary FalconX is seeking a Personal Account Dealing Senior Compliance Associate to join our team and help to manage... ...employee holdings and transactions for policy breaches, and administer the...PersonalPolicyLocal areaShift work$100k - $200k
...is a private equity firm. They seek a Compliance Officer to join their Manhattan, NY office... ..., and ongoing updates to compliance policies and proceduresMaintain compliance... ...employee compliance processes, including personal trading reviews, certifications, and pre-clearance...PersonalPolicyWork at office- ...Responsibilities • Advising clients on compliance matters, including oversight of personal trading, email review, monitoring of firm trading activity, and maintaining... ..., documented, and action completed, as per client policies and procedures • Analysis of regulatory...PersonalPolicy
- ...based in New York, is seeking a Compliance Associate to join its compliance team.... ...Marketing Rule Support trade operations and assist with... ...s code of ethics, including personal trading, gifts and entertainment... ...and updating of compliance policies and procedures Support...PersonalPolicyFull time
- ...professional to join their team as a Compliance Associate. Responsibilities: Support the firm... ...’s compliance program by maintaining policies, procedures, documentation, and... ...disclosures and activities, including personal investments, outside business interests...PersonalPolicyFull time
- ...clients currently seeking to add an Associate to their growing global Compliance Team. Ideal candidate will be... ...improvement, and highlight potential policies and procedures changes Prepare... ...regulators Review and test personal trading activities for compliance with regulations...PersonalPolicyFull time
- ...registered investment adviser to hire a Compliance Associate. This hire reports directly to the... ...Administering the Code of Ethics: personal trading pre-clearance, holdings and transaction... ...testing under Rule 206(4)-7 Maintaining policies and procedures, books and records,...PersonalPolicyFull timeWork at office
- ...Overview The firm is seeking a Compliance Associate to play a critical, hands-... ...business functions to personally execute core compliance... ...incoming KYC requests from trading counterparties and service... ...implementation of various policies and procedures related to private...PersonalPolicyShift work
- ...firm with over $40B in AUM is seeking a compliance officer to work closely with the CCO... ...Responsibilities: Design and implement compliance policies, procedures and related controls and... ...with monitoring restricted lists, personal trading activity, and potential MNPI-related...PersonalPolicy
$120k - $150k
...Compliance Associate (New York, NY): Our client is a leading global private... ...s continued growth. This person will work closely with experienced... ...program, including policies and procedures, regulatory calendars... ...and entertainment, personal trading, and employee conduct...PersonalPolicyFull time- ...China. The company’s shares are traded on the stock exchanges in... ...Role Summary The Compliance Associate will assist with managing a... ...registration, continuing education, personal trading, communications, and... ...laws regulations internal policies and procedures • Work with...PersonalPolicyFull time
- ...Compliance Associate Position Summary We are seeking a detail-oriented and collaborative Compliance... ...regulatory requirements and internal policies. Conduct compliance monitoring,... ...electronic communications reviews, personal trading surveillance, investment guideline...PersonalPolicyFull timeWork at office
- ...Position Summary: The Associate will primarily be responsible... ...review, and daily compliance monitoring. We are looking... ...the firm’s Code of Ethics (personal trading, outside business activities... ...pertaining to the firm’s compliance policies, apply judgment in response...PersonalPolicyWork at officeVisa sponsorshipWork visa
- ...Business Consulting | Risk & Compliance | United States - New... ..., and ownership of personal growth. A voice... ...frameworks including policy standardization, RCSA,... ...Transaction Monitoring, Trade Surveillance. Compliance... ...internal initiatives; champion data‑driven decision‑...PersonalPolicyFull timeContract workApprenticeship
- Our client is looking for a Compliance professional to assist its Compliance Team. This candidate will assist a highly... ...supports the administration of the firm’s compliance policies as it relates to personal trading and employee activities. The individual must be highly...PersonalPolicyWork at office
- We are seeking a Compliance Associate to support a broad range of regulatory and compliance activities... ...examinations, training, and policy development. The ideal candidate has... ...terminations. Review and process employee personal trading pre‑clearance requests, restricted‑...PersonalPolicy
- ...Description Optima Partners is looking for a Compliance Associate / Senior Compliance Associate in it's... ...CFTC/NFA, FINRA rules and compliance policies, procedures and materials produced by... ...processes, marketing materials and personal trading Ability to succinctly identify and...PersonalPolicyWork at officeImmediate startShift work
$65k - $70k
...real estate, skilled trades or technology, or you’... ...brighter way forward. Compliance Coordinator - JLL About... ...client standards and policies. Prepare audit status... ...other’s wellbeing and champion inclusivity and belonging... ..., Project Management Personalized benefits that support...PersonalPolicyDaily paidContract workLocal areaRemote work- ...example - engaging with customers to deliver personalized service, coaching Beauty Advisors to... ...share. You will foster client loyalty, champion new product launches, and partner with... ...~ Read and understand employment policies and safety rules/procedures in English...PersonalPolicyFull timePart timeSeasonal workFlexible hoursNight shiftAfternoon shift
- ...Job Overview As a Seasonal Champion, you play a key role in creating a welcoming... ...making eye contact, and starting friendly, personal conversations that build lasting relationships... ...Read and understand employment policies and safety rules/procedures in English...PersonalPolicyFull timePart timeSeasonal workAll shiftsShift workAfternoon shift
$70k - $160k
Compliance AssociateAbout MillenniumMillennium is a global, diversified... ...program that includes policies, procedures, processes, systems... ...reporting. The Quantitative Trading Compliance team supports the... ...Strong sense of ownership and personal responsibility, with the ability...PersonalPolicy$77k - $202k
...OpportunityAs a Regulatory Risk & Compliance - Health Industries - Payer Compliance - Senior Associate you will help clients navigate... ...members while developing your personal brand and technical skills. In... ...deliverables- Reviewing policies, procedures, and control activities...PersonalPolicyFull timeH1b- ...of Bridgestone, Firestone and associate brand products and solutions... ...with decision makers Display personal integrity that allows you to... ...themselves to work. We believe in championing all perspectives, individuals... ...employer. It is our policy to consider all individuals for...PersonalPolicyTemporary workLocal areaFlexible hours
- ...services firm in New York is seeking a junior to mid-level Compliance Officer to support trading and sales personnel. Responsibilities include providing... ...compliance training, and ensuring adherence to policies in a fast-paced environment. The ideal candidate will have...Policy
- ...something better.As a Sales Associate at Crocs, you're at... ...service modelActively champion a positive team... ...to achieve and exceed personal performance objectives... ...CrocsAdhere to all Crocs policies, including Asset Protection... ...control, and compliance initiativesWhat You'll...PersonalPolicySeasonal workShift workNight shift
$225k - $250k
...offer seamless investing and trading experiences to clients worldwide... ...execution and regulatory compliance in everything we do. Join us... ...new rule proposals and firm policies. Compliance Frameworks :... ...company-provided phone, and a personal development allowance. Finally...PersonalPolicyRemote jobFull timeContract workWork at officeWorldwide- ...Points Lead impactful compliance initiatives in a dynamic... ...DescriptionCompliance Associate Vice President... ...education requirements.Manage Personal Account Dealing (PAD)... ...disclosures and trade reviews.Review and monitor... ...developments and update policies, procedures, and...PersonalPolicyWork at office
- ...shop but how you define your personal style. Our commitment runs deeper... ...Job Summary As a Sales Associate, you embody our brand with... ...executing tasks. Innovate and champion new ideas while navigating... ...behavior or acts that violate this policy will result in disciplinary...PersonalPolicySeasonal workLocal areaNight shift
$125k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading team... ...who support global investment and trading activities by establishing and enforcing the firm’s compliance policies, providing real-time advice, and conducting...PolicyWork experience placement- ...oriented Retail Sales and Support Associate to join our team in... ...do: Customer Service Champion the Jones Road brand and deliver... ...service, ensuring a positive and personalized experience Create a warm... ...to store standards and policies consistently What you’ll...PersonalPolicyFull timePart timeShift workWeekend work
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