All jobs near New York in the Regulatory sector

Found 22 jobs
    • New York
    • Negotiable
    • Posted about 16 hours ago

    We are partnering with a leading Expert Networking Firm to source for a motivated and ambitious Manager - Content Compliance. The manager will have 5 direct reports with the opportunity to shape the culture of the team. The ideal candidate should be comfortable interacting with internal & externa...

    • New York
    • US$110000 - US$150000 per annum
    • Posted about 16 hours ago

    Our Client, a leading broker dealer firm, is looking for a Compliance Officer to join their team. This firm provides traders with cutting-edge technology, offering lightning-fast direct access to equity markets through proprietary software and API connectivity. Their streamlined and efficient ope...

    • New York
    • US$110000 - US$150000 per annum
    • Posted about 16 hours ago

    Our Client, a leading broker dealer firm, is looking for a Compliance Officer to join their team. This firm provides traders with cutting-edge technology, offering lightning-fast direct access to equity markets through proprietary software and API connectivity. Their streamlined and efficient ope...

    • New York
    • US$100001 - US$130000 per annum
    • Posted about 16 hours ago

    A top hedge fund is in need of a Compliance Analyst to reinforce their legal and compliance team, ensuring strict adherence to regulatory standards across business activities. This role offers exposure to trading, operations, and software development units, with opportunities to tackle real-time ...

    • New York
    • US$100001 - US$130000 per annum
    • Posted 5 days ago

    A top hedge fund is in need of a Compliance Analyst to reinforce their legal and compliance team, ensuring strict adherence to regulatory standards across business activities. This role offers exposure to trading, operations, and software development units, with opportunities to tackle real-time ...

    • New York
    • US$100001 - US$130000 per annum
    • Posted 5 days ago

    A top hedge fund is in need of a Compliance Analyst to reinforce their legal and compliance team, ensuring strict adherence to regulatory standards across business activities. This role offers exposure to trading, operations, and software development units, with opportunities to tackle real-time ...

    • New York
    • US$100000 - US$155000 per annum
    • Posted 6 days ago

    A dynamic Trading firm is on the lookout for a dedicated Compliance Associate based in the heart of NYC. As a member of their compliance team, you'll be instrumental in crafting, implementing, and enhancing the framework of policies and procedures to ensure the firm's full compliance with legal a...

    • New York
    • US$100000 - US$115000 per annum
    • Posted 11 days ago

    Our Client: This growing financial institution has the a goal to give investors tactics for realizing China's significance as a crucial component of a well-planned investment portfolio. Their team manages about $8.7 billion in assets as of December 2023, aims to offer first-to-market, creative st...

    • New York
    • US$110000 - US$150000 per annum
    • Posted 12 days ago

    Our Client, a leading broker dealer firm, is looking for a Compliance Officer to join their team. This firm provides traders with cutting-edge technology, offering lightning-fast direct access to equity markets through proprietary software and API connectivity. Their streamlined and efficient ope...

    • New York
    • US$110000 - US$150000 per annum
    • Posted 12 days ago

    Our Client, a leading broker dealer firm, is looking for a Compliance Officer to join their team. This firm provides traders with cutting-edge technology, offering lightning-fast direct access to equity markets through proprietary software and API connectivity. Their streamlined and efficient ope...

    • New York
    • US$100000 - US$115000 per annum
    • Posted 13 days ago

    Our Client: This growing financial institution has the a goal to give investors tactics for realizing China's significance as a crucial component of a well-planned investment portfolio. Their team manages about $8.7 billion in assets as of December 2023, aims to offer first-to-market, creative st...

    • New York
    • US$100001 - US$130000 per annum
    • Posted 14 days ago

    A top hedge fund is in need of a Compliance Analyst to reinforce their legal and compliance team, ensuring strict adherence to regulatory standards across business activities. This role offers exposure to trading, operations, and software development units, with opportunities to tackle real-time ...

    • New York
    • US$12000 - US$140000 per annum
    • Posted 15 days ago

    An international Investment Management Firm is hiring for a Trade Compliance Officer in their New York City office! This role will be performed on a hybrid schedule (4 days in office / week) and will report directly to the Senior Compliance Officer. Responsibilities: Conduct reviews of trade surv...

    • New York
    • US$200000 - US$300000 per annum
    • Posted 19 days ago

    Job Title - Head of Swap Dealer, Volcker & IB Regulatory Governance Where - Weehawken or NYC Structure - 3 days in office / 2 days WFH THE ROLE: Expertise in CFTC Swap Dealer and SEC Security-Based Swap Dealer rules. Leading a global team that oversees regulatory requirements and control framewor...

    • New York
    • US$11000 - US$160000 per annum
    • Posted 19 days ago

    JOB TITLE - Control Room Compliance Officer STRUCTURE - Hybrid JOB SUMMARY: Include, but are not limited to: Provide Firm Compliance policy guidance with respect to Information Barriers and Investment Banking Conflicts of Interest. Conduct training on the Firm's policies and procedures relating t...

    • New York
    • US$100000 - US$115000 per annum
    • Posted 21 days ago

    Our Client: This growing financial institution has the a goal to give investors tactics for realizing China's significance as a crucial component of a well-planned investment portfolio. Their team manages about $8.7 billion in assets as of December 2023, aims to offer first-to-market, creative st...

    • New York
    • US$200000 - US$275000 per annum
    • Posted 21 days ago

    Executive Director - Deputy BSA Officer Our client, one of largest American Banking groups, is looking to hire an experienced AML professional at an Executive Director level to provide specialist Compliance advice and guidance to senior leaders and key members of the firms substantial Capital Mar...

    • New York
    • US$300000 - US$330000 per annum
    • Posted 25 days ago

    A large, growing Fintech is looking to hire a Chief Compliance Officer in their New York City office to manage the compliance and regulatory program for the organization. This will entail the acquisition and maintenance of state money transmitter licenses, establishing relevant training and testi...

    • New York
    • US$80000 - US$100000 per annum
    • Posted 25 days ago

    I am currently partnered with a highly reputable firm based out of Long Island that is looking to bring in a Compliance Manger to their growing team. This role would be reporting into the VP, Risk Management/Compliance and be performed on a hybrid basis. Key Responsibilities: Monitors federal and...

    • New York
    • US$16000 - US$165001 per annum
    • Posted 25 days ago

    Our client, a prestigious globally recognized financial services group, is looking to hire VP of Regulatory Relations to who will work closely with the firms Head of Policy and Regulatory affairs as well as the external regulators. This position can sit in New York or Boston. The VP - Regulatory ...

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