Latest Compliance Advisor jobs in New York, NY - JobisJob United States Mobile

90 Compliance Advisor Jobs in New York, NY

Director- Equity Capital Markets Compliance Advisor 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... 6 days ago
Settlement Analyst Bernard Nickels & Associates - New York, NY, United States for delivering first-class solutions and products. The Clearing & Settlement team for CMCPR team has a high level of interaction with Business Specialists (Financial Advisors), Branch Management, Compliance 3 days ago
Vice President, Head of Holistic Advice & Guidance New York Life Insurance Co - New York, NY, US - Drive engagement initiatives, including educational workshops, seminars, and personalized coaching, to deepen advisor relationships and drive business growth. 8. Risk Management - Ensure compliance Yesterday
Senior Consultant – Wealth Management Infosys Consulting - , NY, United States Social Media hub for Financial Advisors to post content (compliance approved) to multiple social media sites Comprehensive portal to do a “Best Match” and find a Financial Advisor (Individual or Teams 5 days ago
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Senior AFC & Compliance Officer DWS Group - New York, NY, United States as a Compliance Officer/Advisor for a broker dealer and/or registered investment advisor. • Fluent in all FINRA and SEC issues and concerns. • Demonstrated expertise with financial services regulatory schemes 10 days ago
CORPORATE VICE PRESIDENT New York Life Insurance Co - New York, NY, US their understanding of various product solutions available to their clients and assist in their use of software to evaluate prospective opportunities while ensuring NYL's compliance with evolving regulatory obligations Yesterday
Senior Wealth Advisor Mitlin Financial, Inc® - , NY, United States model to help clients meet their financial objectives Collaborative working environment with stakeholders including compliance Participate in firm meetings, training, and client events Maintain 12 days ago
Equities Compliance Director JCW - , NY, United States , FINRA rules, MiFID II, and other relevant global regulations, to ensure compliance within the equities trading business. Advisory Services: Act as a trusted advisor to the equities trading desk, assisting 13 days ago
Director, Global Sanctions & Financial Crimes Compliance Program Advisor 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 14 days ago
Wealth Management Associate Equitable Advisors - New York, NY, United States laws. NOTE: Equitable participates in the E-Verify program. NOTE: Due to company compliance guidelines, Equitable Advisors is unable to provide any sponsorship for its Wealth Management Associate 15 days ago

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