Compliance Advisor Jobs in Long Beach, NY

BNP Paribas - New York, NY, United States

We are conducting a search for an experienced Compliance Officer to cover the Equity Capital Markets (“ECM”) business for BNP Paribas...

from: linkedin.com - 17 days ago

Société Générale - , NY, United States

Reference: 24000E9H Responsibilities: Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) affiliates of Société Générale

from: linkedin.com - 16 days ago

S&P Global - New York, United States

About the Role: Grade Level (for internal use): 12 Director, Global Sanctions & Financial Crimes Compliance Program Advisor About the Role: Responsibilities and Impact: The Impact: The Director Competitive

from: efinancialcareers.com - 12 days ago

Equitable Advisors - Secaucus, NJ, United States

powered by one of the world’s largest broker/dealers LPL* o Our elite benefits and wealth-building programs o Our competitive payouts o Our operation and compliance infrastructure support *LPL Financial

from: linkedin.com - Yesterday

Morgan Stanley - , NY, United States

Draft/revise and execute on policies Providing financial crimes subject matter expertise on changes in regulatory requirements and serving as an effective advisor to the business, legal, risk

from: linkedin.com - 9 days ago

Deutsche Bank - New York, United States

required. 5 to 7 years of compliance experience with experience as a Compliance Officer/Advisor for a broker dealer and/or registered investment advisor. Fluent in all FINRA and SEC issues and concerns salary range for this position in New York City/California is $116,250-$200,000

from: efinancialcareers.com - Yesterday

BNY Mellon - New York, NY, United States

for the role of VP, ETF ADVISOR COMPLIANCE to join our Investment Management Compliance team. This role is located in New York City, NY - HYBRID. In this role, you’ll make an impact in the following ways

from: linkedin.com (+1 source) - 24 days ago

The PeterSan Group and PeterSan Legal Staffing - New York, NY, United States

advisors. This individual will be responsible for ensuring compliance with all communications and advertising rules, working with the Distribution and Marketing teams and generally assisting the Legal

from: linkedin.com - 10 days ago

Baker Tilly US, LLP - Uniondale, New York

you will do: Be a trusted member of the engagement team providing various federal tax compliance and consulting services to industry specific clients:Be a valued tax business advisor, lead client relationships on day to day

from: resume-library.com - 12 days ago

Equitable Advisors - Secaucus, NJ, United States

powered by one of the world’s largest broker/dealers LPL* o Our elite benefits and wealth-building programs o Our competitive payouts o Our operation and compliance infrastructure support *LPL Financial

from: linkedin.com - 10 days ago