Latest Compliance Advisor jobs in Stamford, CT - JobisJob United States Mobile

67 Compliance Advisor Jobs in Stamford, CT

Compliance Associate JCW - Stamford, CT, United States , CFTC and NFA. Working on ad-hoc Compliance projects including reviewing marketing materials and responding to AML/KYC requests. Minimum Requirements At least 2 years of compliance experience 14 days ago
Wealth Management Advisor Equitable Advisors - Stamford, CT, 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 25 days ago
Manager - KYC Compliance Advisor Capital One - New York, United States Center 2 (19050), United States of America, McLean, Virginia Manager - KYC Compliance Advisor Job Description: The Know Your Customer (KYC) Compliance Manager, performs a key risk management role Competitive 15 days ago
Senior Fund Accountant $10B AUM Quant Hedge Fund - Greenwich, CT, United States returns, ensuring compliance with federal, state, and local tax regulations. Coordinate with external tax advisors to ensure accurate and timely tax reporting. Understand structure and tax issues for funds 4 days ago
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Chief Compliance Officer, Registered Investment Advisor - Senior Compliance Advisor 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 4 days ago
Deputy Director, Compliance Building Service 32BJ Benefit Funds - New York , New York 10011 , United States include but may not be limited to: Maintaining and updating the Compliance Calendar and monitoring organization-wide compliance with key deadlines. Communicating with union officials, employers, members 3 days ago
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... 5 days ago
Vice President, ETF Advisor Compliance 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 12 days ago
Asset & Wealth Management - Vice President - Supervisory Manager - New York, NY JPMorgan Chase Bank, N.A. - New York, NY as a Supervisory, Risk or Compliance professional preferred * Experience working in an environment alongside Advisors preferred * Ability to understand new investment products and firm wide policies and procedures 8 days ago
US Tax Specialist (VP or 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 3 days ago

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