96 Compliance Advisor Jobs in New York, NY - page 2
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Tax Director AlTi Tiedemann Global - , NY, United States and review of the annual and quarterly income tax provision calculations and relevant SEC financial statement disclosures Manage and review AlTi’s federal, state, and local tax compliance, including engaging 10 days ago
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SVP, Finance Sub-function Lead Financial Officer (LFO) - GLAC Citi - New York, United States Lead Financial Officers (LFO) are Finance partners and strategic advisors to the functions and businesses they support. This Global Legal Affairs and Compliance (GLAC) sub-function LFO role $163,600.00 - $245,400.00 4 days ago
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Global Financial Crimes: Investment Management Financial Crimes Advisory Officer 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 12 days ago
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Broker Dealer Compliance 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 13 days ago
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In-House Legal Coverage Position for Fixed Income Sales & Trading/Global Capital Markets Derivatives Attorney Morgan Stanley - New York, United States to ensure that such contracts reflect the legal and economic terms that have been agreed > Working closely with the business, front office risk management and compliance as the legal advisor on governance between $110,000.00 and $190,000.00 at the commencement of employment 8 days ago
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Fund Accountant & Fund Accounting Manager 3 Bridge Networks - , NY, United States such as capital calls, distributions, and investor reporting. Assist in the preparation of quarterly and annual financial reports for investors and regulatory compliance. Coordinate with external auditors and tax 15 days ago
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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 17 days ago
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Senior Compliance Officer - Institutional Sales Coverage 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 9 days ago
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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 19 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 24 days ago
Top locations
- Secaucus, NJ (7)
- Greenwich, CT (4)
- Stamford, CT (4)
- Newark, NJ (4)
- Jersey City, NJ (4)
- Bridgeport, CT (3)
- Fairfield, CT (3)
- Princeton, NJ (3)
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