Compliance Analyst
$80k - $100kVerition
Verition Fund Management LLC (“Verition”) is a multi-strategy, multi-manager hedge fund founded in 2008. Verition focuses on global investment strategies including Global Credit, Global Convertible, Volatility & Capital 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 Analyst to join our Legal/Compliance team based in New York, NY. As a Compliance Analyst, you will play a critical role in ensuring that all business practices adhere to internal ethical standards as well as regulatory requirements. This entry-level position is ideal for candidates who are looking to develop a career in compliance within the financial services industry. This person would work closely with the Legal/Compliance team on both Code of Ethics and the day-to-day compliance needs of a growing multi-strategy hedge fund. Key Responsibilities Monitor and enforce compliance with the company’s Code of Ethics, including oversight of personal trading, conflicts of interest, gifts and entertainment, and other ethical conduct policies. Assist in the development and implementation of compliance training programs for employees. Review securities transactions in accordance with the firm’s personal trading policy. Conduct periodic audits, testing, and reviews to ensure adherence to the Code of Ethics, documenting findings and recommend corrective actions, as necessary. Ongoing Monitoring, Review and Approval of Firm’s Expert Network consultations Collaborate with various departments on Compliance-related matters. Manage and maintain records of compliance and Code of Ethics activities. Assist with communications and trade surveillance. Assist with the preparation of periodic Regulatory filings Respond to queries from employees regarding compliance issues and provide guidance. Qualifications BA/BS or equivalent. Generalist compliance experience across trade surveillance, core compliance, code of ethics, reports, etc. Excellent analytical, organizational, and communication skills. Detail-oriented with a high degree of integrity and professionalism. Ability to handle confidential information with discretion. Salary Range: $80,000 USD - $100,000 USD #J-18808-Ljbffr
- ...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
$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- ...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
NewEdge Capital Group
Stamford, CT4 days ago - ...AQR in Greenwich, Connecticut is looking for a Software Engineer to join their Risk, Compliance, and Legal Engineering team. You will design, build, and maintain application systems that support critical business processes. A strong background in programming and a collaborative...Suggested
AQR
Greenwich, CT2 days ago - ...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
Arga Investment Management
Stamford, CT3 days ago $70k - $95k
...About the Role iCapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compliance Officers on a variety of compliance matters...Full timeWork at officeRemote work$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
- ...Role Name - Regulatory Reporting Analyst Stamford, CT/Remote ROLE_DESCRIPTION - Experience in Capital Management at top-tier... ...(2052A/6G), strengthening operational quality standards and compliance readiness Experience in manual FP&A Reg Reporting Experience preference...Remote work
Q1 Technologies
Stamford, CT3 days ago - ...in Darien, CT seeks a Consumer Loan Specialist I to oversee the disbursement of consumer loans, verify documentation, and ensure compliance with policies and regulations. You will support internal stakeholders and maintain accurate system records. The role emphasizes attention...
DR Bank
Darien, CT18 hours ago - ...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
Millennium
Old Greenwich, CT2 days ago $165k - $275k
...Regional Compliance OfficerWe're seeking someone to join our team as a Regional Compliance Officer in WM Field Compliance to engage directly with the Wealth Management Northeast Regional team and using various data collected across the Firm, to aid in the identification...Temporary workWork experience placementMorgan Stanley
Purchase, NY17 hours ago$47k - $78k
...ensuring the abilities of all employees are used to their fullest potential.Job DescriptionUnder broad supervision, responsible for compliance-related components of internal controls, such as regulations, data quality, process design and communication for an assigned area...Work experience placementWork at officeCNA
Tarrytown, NY3 days ago- ...Well-regarded global hedge fund is seeking a dynamic compliance officer with strong trading compliance experience to join their team. Responsibilities: Provide real-time compliance coverage for traders, providing clear, actionable guidance on trade approvals and trading...
JW Michaels & Co.
Greenwich, CT11 hours ago $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...- ...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
- ...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
- Are you a credentialed life insurance producer who feels constrained by corporate caps, captive carrier limitations, or opaque lead structures? We are expanding our network of established financial protection specialists. This 1099 entrepreneurial partnership is tailored...Contract workWork at officeImmediate startRemote work
CEO Life
Stamford, CT16 days ago - ...Regulatory Reporting Data Analyst Stamford, CT/Remote Job Description - Own and execute daily / monthly production 14Q reports, ensuring completeness, accuracy, and timeliness. Prepare and validate 14Q regulatory reports. Conduct...Remote work
Programmers.io
Stamford, CT3 days ago $150k - $175k
About the RoleiCapital is looking to hire a Compliance Officer to oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF) and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting and/or leading the implementation...Full timeWork at officeRemote 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
$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- ...this application due to a disability, contact this employer to ask for an accommodation or an alternative application process. BSA Compliance Officer Chester, VA, US 1 Attachments 8 days ago Requisition ID: 1163 ROLE PURPOSE The purpose of thisrole is tosupport...
$55 per hour
...client, a financial services organization , is seeking a FIU Analyst to join their team. As a FIU Analyst, you will be part of the... ...transaction monitoring alerts Prepare SAR narratives and maintain compliance documentation Escalate high‑risk or complex compliance issues...Contract workTemporary workFor contractorsWork experience placement- 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
$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
- ...risk strategies at a global financial services firm. Shape governance frameworks for scalable, global business operations. Drive compliance and resilience programs with executive leadership.Job DescriptionOverviewLead enterprise-wide risk management initiatives for a global...
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