Compliance Associate
$85k - $125kConfidential
A full-service investment bank and asset management firm focusing on technology and healthcare growth, is currently looking to hire a Compliance Associate with 1 -3 years of compliance experience. The Compliance Associate will assist in all aspects of broker-dealer compliance as it relates to investment banking, equity research and institutional sales & trading. This is a great opportunity to learn all facets of broker-dealer and asset management compliance. The responsibilities of the positions include but are not limited to: The overall day-to-day advisement in all compliance matters pertaining to the operations of an institutional focused broker/dealer as well as a registered investment advisor that has public and private funds under management Monitoring and supervising daily equity trading, research, sales, and banking activity Designing and implementing internal controls, policies and procedures Responding to requests for information from regulatory bodies May perform other regulatory and legal functions May be assigned special projects from senior management when needed Ideal candidate will possess 1- 3 years of compliance experience. Proper licensing will be required (series SIE, 24, 16, 57,4, etc); must be able to obtain within a reasonable time period Familiarity with some or all of the following is a major plus: CRD – form U4/U5 Firm Element Continuing Education Information Barriers & Conflicts of Interest Rule 3210, 3270, 3280 Market Making The good-faith expected salary range for the above position is $85,000- $125,000 depending on factors including but not limited to the candidate’s experience, skills, license registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance, flexible spending, commuter; and paid time-off plan. #J-18808-Ljbffr Confidential
$110k - $150k
...Title: Compliance Analyst / Compliance Associate Firm: Global Private Equity Firm ($75B+) Location: New York, NY or San Francisco, CA Compensation Range: $110,000 – $150,000 base salary (dependent on experience) plus generous year end bonus and 100% benefits Job Overview...SuggestedFernridge Group
New York, NY4 days ago$100k - $135k
...Overview Compliance Analyst/Associate (New York, NY): A leading private equity firm with more than $5B in assets under management is seeking a Compliance Analyst or Associate to join its team in New York City in a #2 capacity. This is an awesome opportunity to join at...SuggestedFull timeContract workWork at officeCardea Group
New York, NY21 hours ago- ...Our client, a well-known Investment Bank, located in New York, NY is seeking a Legal & Compliance Consultant at the Associate level to join their Compliance team. The successful candidate will support a broad range of compliance activities, including surveillance, regulatory...SuggestedWork at office
Northbound Executive Search
New York, NY4 days ago - ...Alternative Asset Manager seeks Associate to join their Compliance team in New York. Responsibilities Compliance Monitoring & Oversight Support the execution of the firm’s compliance monitoring and testing program. Perform periodic reviews of employee activities including...Suggested
Glocap
New York, NY1 day ago $100k - $155k
...Overview Position: Compliance Associate. Overview: A top Investment Management firm in NYC is searching for a Compliance Associate. Must have: College degree plus 3-5+ years of Financial Services Industry / Compliance experience. Specifically - at least some of those...SuggestedFull timeCyperus Group LLC
New York, NY21 hours ago$130k - $150k
...Overview Job Overview – Compliance AssociateCompensation: $130,000 – $150,000/year base ($200,000 All-In)Location: New York, NYSchedule... ...Monday to Friday (In-Office)Atlantic Group is hiring a Compliance Associate in New York, NY for our client, supporting regulatory...Work at officeMonday to FridayAtlantic Group
New York, NY2 days ago- ...singular focus on the management of money. Over the course of our history, we've earned a sterling reputation for our leadership, influence, and innovation in the asset man Compliance, Associate, Control Room, Business Partner, Investment, Business Services, Management...
Lord Abbett & Co.
Jersey City, NJ1 day ago $85k - $125k
...service investment bank and asset management firm focusing on technology and healthcare growth, is currently looking to hire a Compliance Associate with 1 -3 years of compliance experience. The Compliance Associate will assist in all aspects of broker-dealer compliance as...Currently hiringFlexible hoursConfidential
New York, NY4 days ago$40 per hour
...Monday – Friday | Remote: USA (New York) | Start Date: 3/24/25 | Pay Rate: $40 hourly ) Lawyers on Demand (LOD) is seeking a Compliance Associate to support one of our global clients in delivering the highest level of service to internal and external clients alike. We...Hourly payContract workTemporary workWork at officeRemote workMonday to FridayFlexible hoursShift workLawyers On Demand
New York, NY3 days ago- ...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
Cardea Group
New York, NY21 hours ago - A leading investment firm in New York seeks a Senior Associate in Portfolio Compliance. This role involves monitoring trading activity and ensuring adherence to client guidelines and regulatory requirements. Candidates should have a Bachelor's degree and 1-3 years of experience...Work at officeRemote work
- TwinThread is seeking a Market and Product Expansion Associate in New York, NY, to drive product growth and market strategy. The role involves analyzing market trends, assisting in product compliance, and enhancing testing processes. Qualifications include over 2 years...Work at office
- NERC Compliance Associate page is loaded## NERC Compliance Associatelocations: Byesville, OHtime type: Full timeposted on: Posted 2 Days Agojob requisition id: R0004024Guernsey Power Station (GPS) is a $1.6 billion 1,875 MW 3x1x1 GE 7HA.02 combined cycle electric generating...
$85k - $140k
The Goldman Sachs Group in New York is seeking an SEC Reporting associate to play a vital role in financial reporting and compliance. This position involves preparing SEC filings and quarterly results, ensuring accuracy and adherence to U.S. GAAP regulations. Candidates...- Paths Management Services LLC is seeking a Jr. Desk Compliance Manager to manage Section 8 and LIHTC properties ensuring compliance with regulations. The role involves reviewing recertification packages, generating reports, and supporting Audits. Candidates should have...Hourly payWork at officeWork from home
$100k - $145k
...service investment bank and asset management firm focusing on technology and healthcare growth, is currently looking to hire a Compliance Associate with 1 - 5 years of compliance experience within the asset management, mutual fund or hedge fund industry. The Compliance...Full timeCurrently hiringRemote workFlexible hours$120k - $130k
This position supports the US CIB Corporate Compliance team in governance, compliance monitoring, regulatory tracking, and reporting activities. The role ensures the accuracy, consistency, and timely preparation of materials for internal committees, as well as reporting...Work at officeLocal area- Quant Blueprint LLC is seeking individuals to develop sophisticated investment models for financial analysis while applying quantitative techniques. Candidates will use machine learning on various datasets and work closely with engineers to test their theories. The role...
- Waystone is looking for a Senior Associate in New York to support compliance programs and work closely with consultants. You will maintain the Code of Ethics for clients and assist with regulatory filings. The ideal candidate has 2-4 years of financial services experience...Work at office
- ...Overview Licensing Compliance Consultant VIAJP00001504. Pay and Benefits: Onsite at Leading digital streaming network (Ney Work, NY 10036 - Onsite). W2 Employment, Group Medical, Dental, Vision, Life, Retirement Savings Program, PSL. 40 hours/week, 9 Month Assignment....Contract workWork experience placement
Avispa Technology
New York, NY3 days ago $100k - $155k
A prominent Investment Management firm in NYC is seeking a Compliance Associate. The ideal candidate will possess 3-5+ years of experience in Financial Services Compliance, specifically with Advertising & Marketing materials. Required qualifications include a college degree...Full time- 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...
- Glocap Search is seeking an Associate to join their Compliance team in New York. This role involves supporting compliance monitoring, regulatory filings, and marketing material reviews. The ideal candidate has over 5 years of experience in compliance within financial services...
- Itlearn360 is seeking a Senior Associate for AML Compliance in New York, NY. In this role, you will design and develop the company's enterprise-wide AML program while building strong relationships within the business. You will conduct due diligence reviews and investigations...Full time
$110k - $150k
A leading global private equity firm is looking for a Compliance Analyst/Associate based in New York or San Francisco. This role involves supporting compliance programs, conducting internal testing, and managing regulatory filings. Ideal candidates have 3-5 years of compliance...$80k - $90k
# Legal & Compliance AssociateNew YorkAvailable Start Dates: **Fall 2026 & Winter 2027****About the role**AlphaSights is composed of ambitious... ...them make more informed decisions. As a Legal & Compliance Associate, you will be joining our high-performing global Client...Temporary workWork experience placementWork at officeWork from home- BCG Attorney Search is looking for a junior to mid-level associate with 3-5 years of regulatory experience in the gaming sector to join... ...candidate will support senior attorneys in providing compliance advice to gaming operators and technology providers. Responsibilities...Flexible hours
$120k - $150k
Overview Job Overview - Compliance Associate (Private Equity) Compensation: $120,000 - $150,000/year base ($250,000 All-In) Location: New York, NY Schedule: Monday to Friday (Hybrid). Atlantic Group is hiring a Compliance Associate (Private Equity) in New York, NY for...Work at officeMonday to Friday- A financial services firm is seeking a Compliance Associate in New York, NY. The role involves managing the compliance program, overseeing regulatory filings, and coordinating governance activities for offshore entities. Candidates should have a Bachelor’s degree and 3...Work at office
$120k - $150k
Morgan Stanley is seeking a Senior Associate for its Portfolio Surveillance team in New York. The role entails monitoring compliance, problem-solving, and enhancing surveillance processes. You'll need 5-6 years of asset management experience and strong analytical skills...
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