Regulatory Affairs Associate
iCapital
iCapital is seeking a Regulatory Reporting Associate to join its Regulatory and Compliance team in Greenwich, CT. This role will collaborate with the VP of Regulatory Reporting and Co-Chief Compliance Officers on a range of filings and compliance matters. You will collect data from business teams, prepare submissions like Form ADV and Form PF, develop procedures, monitor regulatory developments, and keep management informed. #J-18808-Ljbffr
Vacancy posted 3 hours ago
Similar jobs that could be interesting for youBased on the Regulatory Affairs Associate in Greenwich, CT vacancy
$120k - $160k
...financial services through technology, innovation, and intelligent data solutions. At Interactive Brokers, compliance is more than a regulatory function — it’s a strategic driver of trust, growth, and operational excellence.We’re looking for a Senior Compliance Data...Suggested- ...systemsDesign periodic and adhoc supervisory reports and complete associated reviewsGuide and manage data incidents and... ...solution potential compliance mattersAssist coordinate responses to regulatory inquiries from foreign and US regulatorsDraft and implement firm...SuggestedTemporary workWork at officeRemote work
$125k - $175k
...with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutionsAssist with regulatory readiness efforts and contribute to responses to regulatory inquiries or examinations related to macro trading activitiesMonitor...SuggestedWork 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...SuggestedWork at officeRemote work
- ...Atlas Search is seeking a Regulatory Reporting Associate to join our Regulatory and Compliance team in Greenwich, CT. You will work closely with leadership on regulatory filings and reporting activities across U.S. and international filings such as Form ADV, Form PF,...Suggested
Atlas Search
Greenwich, CT3 hours ago - ...a division of NewEdge Capital Group, LLC, seeks a Compliance Associate to support the firm’s investment adviser compliance program, focusing... ...SEC standards. Responsibilities include reviewing materials for regulatory compliance, maintaining tracking logs, #J-18808-Ljbffr...
NewEdge Capital Group
Stamford, CT5 days ago - ...Start/End Dates: 6/1/2026 - 6/30/2026 Work Location: Stamford, CT 06903 Job Title: IT - Technology Lead | Regulatory Reporting | Regulatory Reporting System Job Description: Job Title Technology Lead | Regulatory Reporting | Regulatory Reporting...Contract work
Spruce Infotech
Stamford, CT3 days ago - ...Job TitleVisa: USC, GCKey ResponsibilitiesOwn and execute FR 2052a Liquidity ReportingPrepare and validate FDIC regulatory reports (12 CFR 369 & 12 CFR 370)Data sourcing, mapping, and transformation for regulatory reportingData quality checks, reconciliations, and variance...
Delan Associates Inc
Stamford, CT4 days ago $60 - $65 per hour
...recruiter to learn more. Base pay range $60.00/hr - $65.00/hr We are partnered with a leading global financial institution seeking a Regulatory Reporting Business Analyst (Technical) with strong AxiomSL experience to support both US and European regulatory reporting...Contract workPhaxis
Stamford, CT2 days ago$80k - $100k
...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...Verition
Greenwich, CT3 days ago- ...risk oversight is in place for assigned business units and/or functions. Assists with the implementation and execution of legal and regulatory requirements that impact multiple systems, processes, and members. ESSENTIAL DUTIES & RESPONSIBILITIES Ensures the requirements...
Argent Federal Credit Union
Port Chester, NY2 days ago $165k - $275k
...by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Executive Director level... ...understanding of conflicts of interest and business practices typically associated with a broker-dealer (e.g. gifts, non-cash compensation,...Temporary workWork experience placementMorgan Stanley
Purchase, NY2 days ago- ...Role Name - Regulatory Reporting Analyst Stamford, CT/Remote ROLE_DESCRIPTION - Experience in Capital Management at top-tier financial institutions (CAT-2/CAT-3 organizations) FR Y-15 - European Risk Assets and US Risk Assets. Experience in collecting and reporting...Remote work
Q1 Technologies
Stamford, 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, CT3 days ago - ...daily, quarterly, annual) across all compliance areas Construct/maintain compliance rules in Order Management System Assist with regulatory filings (Section 13, Form PF, Form ADV, etc.) Review/approve marketing materials and RFPs to ensure compliance with the SEC Marketing...Work at office
Arga Investment Management
Stamford, CT4 days ago - ...Analyst to join the U.S. team, reporting to the Investment Policy Manager. You will help ensure investment activities comply with regulatory requirements and internal guidelines, focusing on portfolio adherence, front-office advisory, and trade support. You will design...
RBC
Stamford, CT2 days ago - ...develop and implement automated controls, reports, and dashboards Execute and manage trading-related compliance projects driven by regulatory change or internal initiatives from scoping through delivery Investigate trading exceptions and potential breaches, prepare...
Point72 Asset Management, L.P
Stamford, CT3 days ago $145k - $175k
...develop and implement automated controls, reports, and dashboardsExecute and manage trading-related compliance projects driven by regulatory change or internal initiatives from scoping through deliveryInvestigate trading exceptions and potential breaches, prepare...$130k - $150k
...to help you 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...Full timeWork at officeLocal area- A Career with Point72's Regulatory Reporting TeamThe Regulatory Reporting team provides governance across all regulatory filings and... ...Commodities Futures Trading Commission (CFTC), National Futures Association (NFA), Monetary Authority of Singapore (MAS), Financial...Work at office
- ...matters related to the expansion of WMA Assist with the launches of new WMA funds and separately managed accounts (“SMAs”) Monitor regulatory changes, updates and industry-wide compliance initiatives Assist with regulatory examinations, inquiries, investigations and...Full time
Millennium
Old Greenwich, CT5 days ago - ...daily / monthly production BEA and TIC reports, ensuring completeness, accuracy, and timeliness. Prepare and validate BEA and TIC regulatory reports. Conduct data quality checks, reconciliations, and variance analysis against prior submissions and internal MIS....
- ...Regulatory Reporting Specialist Stamford, CT A Career with Point72's Regulatory Reporting Team The Regulatory Reporting team... ...Commodities Futures Trading Commission (CFTC), National Futures Association (NFA), Monetary Authority of Singapore (MAS), Financial...Work at office
Point72 Private Investments
Stamford, CT3 days ago $125k - $170k
...tape.”In this highly visible role, the Cybersecurity - Compliance Advisor will sit at the intersection of cybersecurity, risk, and regulatory compliance, helping ensure the integrity and security of a global financial technology environment. The successful candidate will...Worldwide- ...surveillance and compliance tools.Assist coordinate responses to regulatory inquiries from foreign and US regulators.Draft and implement... ..., and Commuter FSAs)Quarterly fitness stipend to offset costs associated with traditional gym and fitness memberships or feesEducation...Temporary workWork at officeRemote work
$119k - $218.3k
...Summary Senior Consultant - Risk, Regulatory, & Licensing - Digital Assets Regulatory... ...and digital asset lifecycle events, and associated process flows.Deep understanding of the... ...certification(s) in risk, compliance, regulatory affairs, or a related field (e.g., CRCM, CAMS,...Work at office- ...Deliver expert support for compliance assessments, internal audits, and external reviews, offering informed recommendations based on regulatory requirements and risk considerations.Oversee the development, execution, and monitoring of remediation and corrective action...Full timeContract workCasual workWork at officeWeekend workAfternoon shift
$134.5k - $265.1k
...Financial Services Manager - Financial Risk Our Deloitte Regulatory, Risk & Forensic team helps client leaders translate multifaceted... ...(e.g., Dodd-Frank; FRB/Fed, OCC, CFTC), plus strong grasp of associated models, data, processes, and controls.Hands-on ability to analyze...Work at officeVisa sponsorship$190k - $215k
If you are unable to complete this application due to a disability, contact this employer to ask for an accommodation or an alternative application process. Chief Advancement Officer Full Time Greenwich, CT, US 5 days ago Requisition ID: 1452 Position Chief Advancement...Full timeWork at officeLocal areaFamily Centers, Inc.
Greenwich, CT2 days ago$150k - $175k
About the RoleiCapital is looking for a Vice President candidate to join its Regulatory and Compliance team to work with senior members of the Compliance team. The candidate will be responsible for ensuring compliance with AML regulatory requirements within the United...Full timeWork at officeRemote work
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Regulatory Affairs Associate. Be the first to apply!
Related searches
- regulatory contract Greenwich, CT
- regulatory law Greenwich, CT
- regulatory Greenwich, CT
- corporate compliance Greenwich, CT
- compliance team leader Greenwich, CT
- finance compliance Greenwich, CT
- regulatory affairs assistant Greenwich, CT
- vice president compliance Greenwich, CT
- tax compliance Greenwich, CT
- legal compliance Greenwich, CT