Latest Investment Compliance jobs in New York, NY (page 2)

151 Investment Compliance Jobs in New York, NY - page 2

Chief Financial Officer CrimsonXT - , NY, United States recommendations to the CEO and executive team based on financial analysis and projections. Ensure compliance with financial regulations and standards. Implement and maintain robust financial controls and reporting 4 days ago
AVP, Credit Portfolio Management and Trading Alpha Global Search LLC - New York, NY, United States International Asset Management firm is seeking an AVP level professional in their credit investment team who is responsible analyzing each portfolio and executing credit related orders in compliance 4 days ago
Senior Associate Optima Partners - New York, NY, United States filings Requirements: Undergrad degree required from an accredited college or university, J.D. or Advanced degree a plus MUST HAVE 2+ years of total compliance industry experience working at one or more 4 days ago
Compliance Analyst The Goodkind Group, LLC - New York, NY, United States in a compliance function for an SEC-registered investment adviser or exempt reporting adviser • Meaningful work experience in the US asset management industry and securities markets and familiarity with securities 4 days ago
Compliance Specialist Green Key Resources - New York, NY, United States with stakeholders to manage restrictions and regulator obligations Update management on regulatory requirements that effect operations/ investments/ trading Periodic review of policies and procedures - Code of Ethics 4 days ago
Energy Engineer - Audit Bright Power, Inc. - New York, NY, United States return on investments, evaluates plans or system layouts, designs objectives, aligns resources, determines project scope and ensures compliance with Federal, State, or local laws. Conducts energy audits 6 days ago
Senior Compliance Officer Cardea Group - New York, NY, United States ; and Monitor ongoing legal and regulatory developments; implement new compliance initiatives as law, compliance and business circumstances evolve. Qualifications: 8-10 years of relevant investment advisory 9 days ago
Compliance Coordinator The Lawt - New York, NY, United States , private investment requests and outside business activities via a compliance software program (StarCompliance). Perform confidential background checks of potential investors and company founder. Assist 9 days ago
Marketing Compliance Analyst ApTask - , NY, United States Salary: $80,000/annually Basic Qualifications knowledge of financial services industry as well as relevant investment banking marketing compliance or regulatory experience Degree or equivalent 9 days ago
Compliance Officer - Risk Assessment QUANTEAM - North America (RAINBOW PARTNERS Group) - New York, NY, United States , Geneva, Lisbon, Porto and Casablanca. Context: Our client, a leading investment bank based in New York City, is seeking a dynamic and experienced professional to join their team as a Compliance Risk 11 days ago

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