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 Verition
- ...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
- Regulatory Affairs SpecialistWhy Join Us?At LBB Specialties, we are dedicated to empowering innovation, building meaningful relationships, and fostering an environment where every team member can thrive. As part of our team, you'll work alongside industry experts, contribute...SuggestedFlexible hours
- We are searching for an experienced Regulatory and Compliance Specialist at our Connecticut office. Regulatory Compliance Specialist Full Time Norwalk, CT About The Company Wilton Re is an industry leader in the life (re)insurance space, specializing in the acquisition...SuggestedHourly payFull timeWork at office
- 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
$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...SuggestedWork experience placement$185k - $200k
...Job Description Job Description Trade Compliance Manager Currently accepting applicants in NJ, NY, and CT. Hybrid/Remote: 3 days a week in the Norwalk, CT office GameChange Solar is one of the fastest growing, most dynamic companies in the booming solar...Full timeWork at officeRemote work3 days per weekGameChange Solar Corp
Norwalk, CTmore than 2 months ago- 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
- FactSet creates flexible, open data and software solutions for over 200,000 investment professionals worldwide, providing instant access to financial data and analytics that investors use to make crucial decisions. At FactSet, our values are the foundation of everything...Full timeContract workWork experience placementWorldwideFlexible hours
- FactSet creates flexible, open data and software solutions for over 200,000 investment professionals worldwide, providing instant access to financial data and analytics that investors use to make crucial decisions. At FactSet, our values are the foundation of everything...Full timeWork experience placementRemote workWorldwideFlexible hours
- ...Import Compliance & Documentation Control Specialist GameChange Solar is one of the fastest growing, most dynamic companies in the booming solar industry. We are a leader in the solar racking and tracker industry with a dynamic and driven team passionate about changing...Full timeWork at office
GameChange Solar
Norwalk, CT2 days ago $7.5k
Senior Executive Project Manager Dalio Family Office Dalio Family Office : The Dalio Family Office (DFO) supports Barbara and Ray Dalio and their family in their ventures, investments, and philanthropic efforts under Dalio Philanthropies, which includes OceanX...Full timeSummer workCasual workWork at office3 days per weekDalio Family Office
Westport, CT3 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, CT2 days ago $115.25k - $128.05k
...programs. Serve as both a technical and internal management partner in the prevention of injuries and illnesses, ensuring regulatory compliance and incorporating best practices into ES’s safety management system. In addition to the Advisor, Safety responsibilities, the...Full timeH1bLocal area- ...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
$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- 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...
- ...regulatory filings, and update pricing and models. The role also involves data preparation, quality checks, and mentoring junior analysts. The position requires a BA/BS and 4+ years of related experience, with ASA certification preferred. Hybrid work with in-office days...Work at office
The Elevance Health Companies, Inc.
Westport, CT4 days 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 $100k - $140k
...Senior Actuarial Analyst Full Time Norwalk, CT or Chicago, IL About The Company Wilton Re is an industry leader in the life (re)insurance space, specializing in the acquisition of in force life insurance and annuities. We are experienced industry specialists focused on...Hourly payFull timeWilton Re
Norwalk, CT4 days ago$75k - $90k
...Actuarial Analyst Full Time Norwalk, CT About The Company Wilton Re is an industry leader in the life (re)insurance space, specializing in the acquisition of in force life insurance and annuities. We are experienced industry specialists focused on the risk, capital and...Hourly payFull timeInternshipWilton Re
Norwalk, CT5 days ago$100k - $110k
...development, change management, and market access activities and may serve as, or directly support, the Person Responsible for Regulatory Compliance (PRRC) in accordance with EU MDR Article 15. Essential Duties and Responsibilities: To perform this job successfully, an...Work at officeRemote workBiowave Corporation
Westport, CT5 days ago$126.72k - $207.36k
...analysis and ensures its reasonableness as well as accuracy by coordination within the division. Serves as informal mentor to other analysts on the team, guiding them through projects and advancing their analytical and technical skills. Performs key actuarial functions...Contract workTemporary workWork at officeLocal areaFlexible hoursDay shift2 days per week1 day per weekThe Elevance Health Companies, Inc.
Westport, CT4 days ago- MACHINE LEARNING TECHNOLOGIES LLC in Norwalk, CT, is looking for a Sourcing Analyst to provide analytic support to the Supply Chain Sourcing Specialists. You will develop standardized reporting tools, manage KPI tracking, and analyze indirect spend data for trends and savings...Contract work
- 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
Bridgeport, CT11 days ago - ...for providing leadership, guidance and support to the clinical and non-clinical team. Deliverable will include the maintenance and compliance of procedures and coordination of daily operations and personnel ensuring continuity and growth across all locations. This...Full timeWork at office
Archway Dental Partners
Darien, CT1 day 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$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- ...reconciliations, position and transaction monitoring checks, and exception investigations to maintain reporting accuracy Partner with compliance, legal, finance, risk, technology, and trading teams to document requirements, map workflows, and create control evidence...Work at office
$153k - $163k
...and for a diverse range of businesses, organizations, and government. Job Summary EMCOR Group, Inc. seeks an IT/Security Compliance Manager who would be responsible for day-to-day IT operations and security compliance for EMCOR Group, Inc.’s corporate headquarters...Work at officeLocal areaRemote workFlexible hours$60k - $75k
...closely with cross-functional teams and other departments to ensure all international trade activities are properly documented and in compliance with all applicable laws and regulations. Provide training on trade compliance to other departments in the business units....Work at office
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Compliance Analyst. Be the first to apply!
- medical compliance Norwalk, CT
- regulatory compliance Norwalk, CT
- corporate compliance Norwalk, CT
- compliance technician Norwalk, CT
- compliance lead Norwalk, CT
- compliance team leader Norwalk, CT
- regulatory affairs Norwalk, CT
- ethics compliance Norwalk, CT
- regulatory affairs assistant Norwalk, CT
- housing compliance Norwalk, CT