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
- ...a detail-oriented and collaborative Compliance Associate to support a broad range of investment... ...activities within a dynamic financial services environment. This role will partner... ...Working knowledge of federal securities regulations and compliance practices. Familiarity...SuggestedWork at office
$80k - $115k
...seeking someone to join our team as a Compliance Associate in Wealth Management Compliance to... ...Stanley is known as a global leader in financial services, always evolving and innovating to... ..., FINRA rules, SEC rules, and AML regulations. Exceptional issue-spotting skills and...SuggestedTemporary work$90k
...a global leader and innovator in the financial services industry and is evolving from a high-impact... ...Develop, enhance, and maintain AML compliance models and transaction monitoring... ...SIT, and UAT. ~ Understanding of AML regulations and compliance frameworks including BSA...SuggestedHourly payFull timeContract workWork at officeShift work- ...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
- ...Overview A law firm seeks a mid-level Associate for their Financial Regulatory and Compliance Practice in New York. The role... ...Advise clients on financial services regulatory and compliance matters... ...and analysis on financial regulations Draft and review compliance‑related...SuggestedTemporary workFlexible hours
$100k - $140k
Financial Crime Compliance Associate Corporate Title: Associate Department: Compliance Location: New York... ...Overview Nomura is a global financial services group that operates in over 30... ...works closely with business lines, regulators and other stakeholders to ensure compliance...Relocation package$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$125k - $150k
...Job Overview – Compliance Analyst Compensation: $125,000 – $150,000/year base ($175,00... ...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- ...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...Full time
$85k - $145k
...COMPLIANCE SPECIALIST SENIOR WEALTH MANAGEMENT What is the opportunity... ...of Retail Non-Deposit/Regulation R activities, bank investment... ...Compliance roles, experience with a financial institution such as a broker... ...diversified financial services companies. To learn more about...Remote work$130k - $180k
...Legal & Compliance New York, NY Full-time $130,000 - $180,000 About the Role We're looking... ...employees Manage relationships with regulators and external auditors Perform... ...5+ years of compliance experience in financial services Deep knowledge of SEC, FINRA, and state...Full time$120k - $200k
...LEAD FIDUCIARY COMPLIANCE SPECIALIST WHAT IS THE OPPORTUNITY?... ...Activities and state fiduciary regulations including Delaware. This role... ..., new products, and services to ensure compliance with applicable... ...'s leading diversified financial services companies. To learn...Work at officeRemote work- A global financial services firm is seeking a Financial Crime Compliance Associate in New York. The successful candidate will manage and execute compliance policies related to anti-money laundering, sanctions, and anti-corruption. Responsibilities include advising stakeholders...
- A leading telehealth infrastructure provider is seeking a Senior Compliance Analyst to oversee a robust legal framework and ensure compliance with healthcare regulations. This fully remote position covers all 50 states and involves monitoring regulatory changes, conducting...Remote job
$150k - $180k
Senior Compliance Officer - FCM Advisor - VN2537 New York, NY Full... .... Marex is a global financial services platform, providing essential... .... Experience working in a regulated environment and knowledge of... ...and compliance requirements associated with this. Salary Range: $...Full timeWork at officeImmediate start$100k - $130k
A financial services company is seeking a Senior Compliance Analyst with expertise in SEC and FINRA regulations. This role involves supporting compliance coverage, designing supervisory reports, and engaging with stakeholders to enhance internal controls. Candidates should...Full time- Crypto.com is seeking a full‑time Analyst for its Market Regulation team to monitor and enforce trading rules on its US derivatives platform. This remote role involves real‑time surveillance, investigations, and regulatory reporting, with exposure to SEC, CFTC, FINRA rules...Remote jobFull timeWeekend workAfternoon shift
$96k - $181k
Location 4910 Tiedeman Road, Brooklyn Ohio About the Job The Senior Compliance Officer, Horizontal Compliance is responsible for assisting... ...This position will be responsible for compliance oversight of Regulation W, Regulation O, and Anti‑tying regulations, including serving...Work at officeFlexible hours- 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...
- 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...
$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$150k - $180k
A global financial services provider in New York seeks a Senior Compliance Officer - FCM Advisor to provide compliance advisory services, ensuring adherence to SEC, FINRA, and CFTC regulations. The role requires excellent communication, analytical skills, and a Bachelor...$113.1k
...Full-time Senior Analyst, Regulatory Compliance Services. As a Senior Analyst, you will be a member... ...to the branch... Full-time A global financial services firm is seeking a Regulatory... ...compliance with SEC & CFTC financial regulations and internal company policies. Ensure...Permanent employmentFull timeContract workLocal areaRemote workWorldwide3 days per week$180k - $225k
...Line of Business: Compliance Pay Detail: $180,000... ...application of OCC and FRB Regulations (including, without limitation... ...Compliance or Legal at complex financial services institution ~ Strong... ...Important Bank (GSIB), or associated regulator. ~ Candidate will...Work experience placementLocal areaWork from homeFlexible hours- Multinational banking and financial services company who is a global leader in agricultural financing... ...to be filed with the appropriate US Regulators with a focus on Capital and Liquidity... .... Additional Information In compliance with federal law, all persons hired will...
$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...$150k - $185k
...Dynamic. Marex is a global financial services platform, providing... ...is seeking a Broker-Dealer Compliance Advisor (focusing on Equities... ...expert in U.S. Broker-Dealer regulation, providing compliance advisory... ...and compliance requirements associated with this. Salary Range: $...Immediate start$245k - $290k
Squire Patton Boggs seeks an Associate for its insurance team within the Global Financial Services Practice Group. Located in any U.S. office, the role entails delivering... ...legal services on insurance regulatory issues, compliance, and corporate transactions. Ideal candidates...Work at office- ...global, diversified information, services and media company with more... ...interests include various financial services, medical... ...Customer is seeking a AI Risk and Compliance Analyst on a contract basis... ...OECD AI principles, privacy regulations, or sector‑specific AI guidance...Contract workFor contractors
- ...mortgage loans and referrals remotely from Carlsbad, CA. The ideal candidate will possess strong member service skills and a deep understanding of mortgage regulations. Responsibilities include originating loans, assisting with product selections, and managing the...Remote jobPart time
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