Latest Investment Compliance jobs in New York, NY

143 Investment Compliance Jobs in New York, NY

Capital Investment NMTC Compliance & Loan Closing Manager Primary Care Development Corporation (PCDC) - New York, NY, United States development lenders and advocates dedicated to catalyzing excellence in primary care to ensure we can meet a client’s needs, regardless of project size. Position Overview The Capital Investment CDFI Compliance 7 days ago
Financial Services Professional New York Life Insurance Company - New York, NY, United States state law, investment advisory licenses, compliance history, production standards, and required training. Requirements are subject to change. 3. Based on 2022 company data for 7,603 agents operating 3 days ago
Portfolio Compliance Officer, Mercer Investments Marsh McLennan - New York, NY, US . Globally, we provide investment management services primarily to institutional clients with over U$390 bn of assets under management. Mercers US & Canada Investments Compliance team is seeking candidates 12 days ago
Loan IQ Credit Documentation / Operations Associate - Fund Finance and Investor Services Network ESC A Division of Network Temps, Inc. - New York, NY, United States control and regulatory compliance. You Duties and Responsibilities: Operations Analyst, FFD, ISB Performs business review of credit documentation, regulatory compliance review and booking of new investments 3 days ago
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Structured CLO Credit Associate Top International Banking Institution - New York, NY, United States and Responsibilities Reviews potential assets in assigned products/industries and prepares CLO credit applications and makes investment recommendations. Ensures compliance with applicable investment guidelines 3 days ago
Compliance Officer - Investment Bank Compliance - Origination & Advisory - Capital Markets - Vice President Deutsche Bank - New York, United States Job Description: Job Title Compliance Officer - Investment Bank Compliance - Origination & Advisory - Capital Markets Corporate Title Vice President Location New York, NY Overview You will provide salary range for this position in New York City is $125,000 to $203,000 13 days ago
Broker Dealer Compliance The PeterSan Group and PeterSan Legal Staffing - New York, NY, United States We represent alternative investment financial technology platform looking to hire an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team and focus 3 days ago
Senior Derivatives Operations Officer Hamlyn Williams - New York, NY, United States , investment accounting oversight, and derivative legal compliance. In this role you will: Work closely with Derivative Portfolio Management, Derivative Trading, Legal, Treasury, and Investment Accounting 3 days ago
Director, SCUSA CCO, Head of Broker Dealer & Corporate Functions Compliance Scotiabank - New York City, NY, US experience and at least 5 years of experience managing an advisory compliance team supporting trading and/or investment banking businesses. Series 24 and/or Series 14 exam qualification required. In depth 2 days ago
Tax Manager at Family Office Atlas Search - Stamford, CT, United States experience reviewing tax returns for individuals, partnerships, trusts, and philanthropic entities. This is a new Manager role that reflects significant growth in the volume of investment and foundation 3 days ago

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