Compliance Analyst
$65k - $70kSocial Capital Resources
Base pay range $65,000.00/yr - $70,000.00/yr Investment Management Firm in Midtown, Manhattan is seeking a Compliance Analyst for a full-time position! Responsibilities Assist with oversight of sub-advisers, third-party vendors and service providers Assist with fund launches, product lifecycle events across ETFs, UCITS and private funds Assist in preparing or reviewing DDQs, fund registration documents, website postings Coordinate cross-listings, market openings and registrations across exchanges and regulators Assist in the execution and documentation of the firm’s compliance testing and monitoring program Support maintenance of compliance manuals, policy reviews and calendars Help prepare and track regulatory filings (e.g., Form ADV, Form PF, UCITS filings, etc.) Code of Ethics compliance monitoring, including approving / denying requests for personal trading, outside business activities, personal investments Qualifications Bachelor's Degree 1-3 years of experience in fund operations, middle or back office or fund compliance Strong Excel skills and data experience Proven ability to manage multiple priorities in a deadline-driven environment Knowledge of the Investment Adviser Act, Investment Company Act of 1940 and/or UCITS preferred Seniority level Associate Employment type Full-time Job function Finance Industries Investment Management #J-18808-Ljbffr Social Capital Resources
Vacancy posted 1 day ago
Similar jobs that could be interesting for youBased on the Compliance Analyst in New York, NY vacancy
- ...Statutory Risk and Compliance Analyst To support statutory risk and compliance programs through regulatory change review, quality control, process analysis, and cross-functional coordination. To evaluate regulatory and program requirements, determine applicability...SuggestedContract workWork at office
Michigan Farm Bureau
New York, NY1 day ago - ...The Crown Is YoursAs a Regulatory Compliance Analyst, you'll play a critical role in safeguarding the integrity of DraftKings' prediction markets. Working at the intersection of regulation, surveillance, and operations, you'll help ensure our markets are fair, compliant...SuggestedRotating shift
DraftKings
New York, NY4 days ago $21 - $22 per hour
...Compliance AnalystTOP BANK IN NEW YORK CITY NOW HIRING COMPLIANCE ANALYSTSalary range from $21.00 to $22.00 per hour.This role is located... ...to ****@*****.*** Role OverviewThe Compliance Analyst is responsible for identifying and developing criteria and commentary...SuggestedHourly payWork at officeImmediate start2 days per weekNetwork Temp Inc
New York, NY2 days ago- ...Do you thrive where technology, compliance, and product development converge? Do you see regulatory expertise as a way to fuel innovation... ...-friendly? AOT Technologies is looking for a Compliance Analyst . Join our team to help integrate regulatory requirements...SuggestedLocal areaRemote workFlexible hours
AOT Technologies
New York, NY1 day ago - ...Compliance AnalystWe are looking for a hands-on Compliance Analyst to join our Compliance team with a primary focus on KYC and KYB onboarding operations. This is a do-er role - you will be in the queue every day reviewing applications, making risk decisions, and working...SuggestedWork at officeWork from homeFlexible hours
Fern
New York, NY2 days ago - ...Category : Compliance Application Deadline: Ongoing until positions are filled. About TP TP is a leading global provider of digital business... ...-related requests. Position Summary The Compliance Analyst supports the organization's Compliance Management System (CMS)...Ongoing contract
Teleperformance USA
New York, NY1 day ago $120k - $140k
DescriptionKforce's client, a top 3 global investment bank, is seeking an AML Compliance Analyst for its New York, NY headquarters (midtown). The work schedule is 3/2 or 4/1 hybrid.Duties will include:* Client onboarding* AML due diligence* Customer Identification Program...KForce
New York, NY1 day ago- BetMGM LLC in New Jersey seeks an Analyst, Patron Complaints to ensure compliance across online iGaming, sportsbook, and retail operations. You will investigate incidents, draft reports for state regulators, track cross‑jurisdiction matters, and coordinate with Compliance...
- Regulatory Compliance Analyst The Regulatory Compliance Analyst will be responsible for monitoring and ensuring Gambling News' compliance with relevant laws and regulations in the U.S. prediction markets sector. About Gambling News Gambling News is a leading provider...
- ...Security Compliance Analyst To support the maintenance and execution of the security compliance operations for the Michigan Farm Bureau Family of Companies, ensuring compliance with regulatory requirements, industry standards, and internal security policies. To...Contract workFor subcontractorWork at office
Michigan Farm Bureau
New York, NY1 day ago $75k - $85k
...trust services and investment advisory and asset management services. Job Description Oppenheimer & Co. Inc. is seeking a Compliance Analyst to join the Compliance team supporting Oppenheimer Asset Management (“OAM”) in New York. Oppenheimer & Co. Inc. is seeking a...Work at officeOppenheimer & Co. Inc.
New York, NYa month ago$70k - $80k
...Job Description Job Description Global Trade Compliance Analyst Department: Global Supply Chain / Global Trade Compliance Location: New York, NY (Hybrid) Reports To: Manager, Global Trade Compliance Position Summary Tarte Inc. is seeking a detail-...Work experience placementSummer worktarte cosmetics
New York, NY18 days ago$140k - $185k
...Job Description Job Description Fund Compliance Analyst Location: New York, NY Employment Type: Full-Time Estimated Compensation: $140,000 – $185,000 total annual compensation (varies by employer) About This Posting This job description represents a...Full timeCareer Launch AI
New York, NY26 days ago- ...detail-oriented candidate with strong coordination and communication skills who is interested in the intersection of financial crime compliance, technology, and quantitative analysis . Key Responsibilities Support the analysis, development, testing, and optimization of...
$80k - $110k
Neuberger is seeking an Analyst to join the Compliance Team in New York. This person will report into the Chief Compliance Officer - Central Compliance. In this role, the primary focus is surveillance and monitoring, with opportunities to contribute to collaborative projects...Local areaWorldwideShift work- ...Strategy Hedge Fund | Hybrid (Tues-Thurs in Office) We’re partnering with a top-performing, global multi-strategy hedge fund to add Compliance Analysts as the platform continues to grow. This is a hands-on compliance role working closely with trading, operations, and...Work at office
$60k - $75k
...beginning with the Coast Fleet and Fuel Card built on a cutting-edge spend management platform. About the Role We're hiring a Compliance Analyst to help build and run our BSA/AML/OFAC program. This is a hands‑on role for someone who wants to work close to the...Work at officeLocal areaFlexible hours3 days per week$80k - $100k
...New York, NY 10158, USA New York, NY 605 3rd Ave 11th Floor New York, NY 10158, USA DC Advisory seeks an analyst to work alongside the Firm’s legal and compliance teams. This position offers the opportunity for broad exposure to a variety of compliance and regulatory...Work at officeWork from home$110k - $130k
Join to apply for the Compliance Analyst role at The D. E. Shaw Group OVERVIEW The D. E. Shaw group seeks an analyst to work closely with a team of attorneys and compliance professionals to help ensure the firm’s business activities are conducted in strict accordance...$100k - $130k
Compliance Analyst Job type: Full Time · Department: Client Services · Work type: On-Site · USD 100,000-130,000 / year New York, New York, United States About Lorum Global payments are not broken. Incentives are. Clearing has been deprioritized inside balance sheet driven...Full timeBank staffLocal areaRemote workFlexible hoursShift work$73k - $99k
...This is a remote position based in the US with occasional travel. About the role We are seeking a detail-oriented and proactive Compliance Analyst to join our compliance team. This role is critical in ensuring the organization adheres to regulatory requirements and...Full timeTemporary workRemote workFlexible hours$125k - $150k
Job Overview - Compliance Analyst Compensation: $125,000 - $150,000/year base ($175,000 - $200,000 All In) Location: New York, NY Schedule: Monday to Friday (Hybrid) Atlantic Group is hiring a Compliance Analyst in New York, NY for our client, supporting regulatory compliance...Work at officeMonday to Friday$70k - $160k
Compliance AnalystAbout MillenniumMillennium is a global, diversified alternative investment firm, founded in 1989. Defined by evolution, innovation and focus, Millennium’s mission is to deliver results for our investors.Our people are empowered with both independence...- I hope you’re doing well. My client, a leading consulting firm based in Midtown Manhattan, is seeking a Compliance Analyst to join their team. This role follows a hybrid schedule, with four days in the office. Responsibilities: Support coordination, regulatory gap assessments...Work at office
- The purpose of the role is to ensure PMA’s compliance with regulatory requirements regarding PMA’s key business partners - its producers. The role is responsible for onboarding, appointing and terminating producers in compliance with internal policies and regulatory requirements...
- US investment bank seeks to hire an Analyst to join the Legal and Compliance department for the Core Compliance Regulatory group. Primary Responsibilities The individual will assist the Core Compliance Regulatory team with managing employee personal account disclosures...Work at office
$40 - $50 per hour
...skills and experience — talk with your recruiter to learn more. Base pay range $40.00/hr - $50.00/hr Beacon Hill is seeking a Compliance Analyst to support an organization's compliance and regulatory programs. The ideal candidate is detail-oriented, highly organized,...Full time- About the Position We are seeking a Compliance Coordinator to provide critical administrative support to our fast-paced and growing Legal... ...traders, technologists, procurement specialists, market data analysts, and engineers. Additional responsibilities of this role may...Flexible hours
$90k - $110k
...For further information about OHA, please visit Overview OHA is seeking an experienced professional to join a strong regulatory compliance team in New York. This is an opportunity to be a go-to expert in investment management regulations in the context of a successful...Work at officeLocal areaRemote workMonday to Thursday- DESCRIPTION POSITION SUMMARY As a Compliance Analyst and a member of the MedPro Compliance Advisory Services Team (“MCA”) you will leverage your compliance and regulatory expertise to provide education and solutions to MedPro’s internal colleagues and external customers...Work at office
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Compliance Analyst. Be the first to apply!
Related searches
- compliance consultant New York, NY
- regulatory analyst New York, NY
- cybersecurity policy and compliance analyst New York, NY
- compliance officer part time New York, NY
- trade compliance specialist New York, NY
- senior compliance analyst New York, NY
- medicare compliance specialist New York, NY
- regulatory compliance analyst New York, NY
- aml compliance analyst New York, NY
- healthcare compliance officer New York, NY