Compliance Associate — Financial Services & Regulation
Dynamics Executive Search
Dynamics Executive Search seeks a detail-oriented Compliance Associate to support investment and employee compliance in a dynamic financial services environment in New York. The ideal candidate has 2–5 years in compliance within financial services and is eager to develop expertise across investment management, broker-dealer, and employee compliance. This role partners with Compliance, Legal, Operations, HR, Risk, and business teams. #J-18808-Ljbffr Dynamics Executive Search
$165k - $275k
...our team as a Regional Compliance Officer in WM Field... ...possible violations of law, regulations, or internal policies... ...Officers and Field Service Compliance,... ...as a global leader in financial services, always evolving... ...practices typically associated with a broker-dealer...SuggestedTemporary workWork experience placement- ...Group is assisting a bank client in the greater New York, NY area with a Bank Compliance Officer role. The position emphasizes quality control reviews, analyzing and reporting on bank regulations across all business lines, and ensuring products and operations meet state...Suggested
$104k - $177k
...Senior Vice President, Consumer Compliance Officer - Global Payments &... ...industry best practices and regulation, and for identifying areas... ...BaaS products that include services and features such as debit card... ...compliance industry. Financial Services, Audit or Compliance...SuggestedTemporary workWorldwideFlexible hours- ...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 firm, is hiring skilled compliance professionals to join its Legal and Compliance team to help oversee...SuggestedFull time
$111k - $140k
...Compliance Associate, Market Surveillance New York City, NY Who are we? FalconX... ...with limited products and services that support trading... ...liquidity found in conventional financial markets. As a comprehensive... ...of market abuse regulations across jurisdictions (CFTC,...SuggestedContract workLocal areaShift work$260k - $365k
...employment opportunity for a senior level Associate in the Financial Regulatory & Compliance Practice. The position can be... ...Minimum of 6 years of financial services regulatory and compliance... ...key financial services laws and regulations, such as BSA/AML, sanctions, third...Full timeTemporary workWork at officeFlexible hours- ...include interviewing applicants to gather financial information, evaluating creditworthiness, and... ...has excellent communication and customer service skills and a deep understanding of current lending practices and regulations. Responsibilities Interview applicants to gather...Flexible hours
- ...Goldman Sachs Group, Inc. is a leading global financial institution that delivers a broad range of financial services across investment banking, securities, investment... ...the impact of existing and potential regulation on specific business activity, and advises desk...Work at office
$119k - $218.3k
...Assets Regulatory & Financial Risk Ready for a fast... ...finance, technology, and regulation? Do you have a... ...date perspectives on compliance obligations and industry... ...a relevant financial services industry sector, and... ...lifecycle events, and associated process flows.Deep understanding...Work at office$92.11k - $156.88k
...Rochdale partners with financial advisors and their high... ...National Bank. REGULATORY ASSOCIATE INVESTMENT MANAGEMENT... ...facilitate reviews by compliance, internal audit and external regulators while providing... ...or related to financial services Additional Qualifications...Remote work$90k - $110k
The Compliance Officer will play a critical role in ensuring adherence... ...policies within the financial services industry. This position will... ...finance activity, and parties associated with correspondent banking... ...Strong knowledge of OFAC regulations and U.S. economic sanctions...Permanent employmentLocal area- Senior Compliance Officer Financial services New York , New York Permanent Feb 19, 2025 The Senior Compliance Officer will support the Alternative business... ...Advisers Act, Investment Company Act, and other regulations for investment management operations. NY Headquarters 1...Permanent employment
$125k - $150k
Job Overview - Compliance Analyst Compensation: $125,000 - $150,000/year base ($175,000... ...and risk management activities within a financial services environment. This opportunity will... ...management, financial services, or another regulated industry, along with strong analytical...Work at officeMonday to Friday- ...Consultant Business Consulting | Risk & Compliance | United States - New York / New... ...competition. Infosys Consulting's (IC) Financial Services Insurance (FSI) vertical focuses on advising... .../ processes impacted by a specific regulation within the financial services...Contract workApprenticeship
- ...and regulatory filings in a fast-paced financial services environment. The role involves... ...reports, SIS/SLS/OBS forms, and other compliance documentation, while maintaining internal... ...documentation and collaborating with auditors and regulators. #J-18808-Ljbffr PRI Technology
- A leading financial services firm in New York is seeking a junior to mid-level Compliance Officer to support trading and sales personnel. Responsibilities include providing regulatory guidance, conducting compliance training, and ensuring adherence to policies in a fast...
- A leading financial services company in New York seeks a Compliance Monitoring Specialist to support governance, compliance tracking, and reporting activities. Ideal candidates should have a Bachelor's degree in Business, Finance, or Law, and must possess strong organizational...
$110k - $150k
...new or proposed changes in tax laws and regulations. Provide input to the development of... ...maintenance of tax work paper files. Create financial statements and perform bookkeeping... ...Harriman (BBH) is a premier global financial services firm, known for premium service,...Work experience placementWork at officeLocal area$60 per hour
Virtualization Security & Compliance Consultant Sep 15, 2025 - MidLevel $60.00 Hourly Overview: We are a financial services organization where the security of our data and infrastructure... ...and long-term compliance with stringent industry regulations. #J-18808-Ljbffr FeatmateHourly payPermanent employmentTemporary work$90k - $125k
...market investment bank and full service broker-dealer. With roots... ...range of activities in the financial services industry, including... ...Oppenheimer & Co. Inc. is seeking a Compliance Professional to join our... ...with Advisers Act and FINRA regulations Understanding of wealth...Work experience placement$70k - $110k
A financial services recruitment firm seeks a Regulatory Reporting Analyst in New York. The candidate will prepare regulatory... ...to derivatives activity, ensuring accuracy and compliance with CFTC and SEC regulations. Ideal for those with 3+ years in regulatory reporting...$89k - $105k
...this historic cultural and financial shift, keep reading.About the... ...this unique financial planning service conveniently at their... ..., anytime and anywhere. The Compliance Specialist will help create... ...committee members, as well as regulators.Exceptional organizational skills...Work at officeFlexible hoursShift work3 days per week- ...and registered credit funds, ensuring compliance with regulatory standards and supporting... ...relationships with external counsel and service providers, ensuring seamless legal... ...the Investment Company Act and related regulations.Support structuring, formation, and management...
$125k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading team of compliance professionals who... ...commodities, and derivativesPractical experience analyzing laws and regulations related to commodity interests and securities, including SEC...Work experience placement- ...About the rolePolymarket is hiring an AML Compliance Officer to oversee and implement our... ...adherence to all applicable federal regulations — including the Commodity Exchange Act... ...preferred2+ years of AML/CTF experience in financial services, with exposure to derivatives, futures...Contract work
$73.6k - $128.8k
...POSITIONS AVAILABLE Employer: AMAZON.COM SERVICES LLC Offered Position: Financial Analyst II Job Location: New York,... ...with the Treasury India Compliance team. Ensure compliance with Treasury... ...treasury policies and external financial regulations governing banking authority....Flexible hours$1,000 - $1,100 per month
...MASS are seeking an Access Governance & Compliance Operations Consultant to join the... ...Compliance function of a leading global financial services firm, operating across both its hedge... ...or reviewing access controls within a regulated or enterprise environment, financial services...Temporary work$42k - $90k
...A global banking institution in New York seeks a Compliance Officer to manage BSA/AML activities and ensure compliance with regulations. Candidates should possess a Bachelor's degree in a relevant field and have at least one year of experience in BSA/AML/OFAC compliance...- ...to help shape a borderless financial future, we’d love to talk. Our... ...for a sharp, motivated Compliance Analyst to join our Compliance... ...complete and defensible to a regulator Draft SAR narratives that meet... ...about our core products and services. To support this mission, we...Work at officeWork from homeFlexible hours
- ...Support the compliance program that keeps digital-asset activity inside the regulated perimeter: KYC/AML, sanctions, the Travel Rule, and examiner-ready evidence. Works... ...What we're looking for 2+ years in BSA/AML or financial-crime compliance. Familiarity with KYC,...
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