Compliance Advisor Jobs in Mount Vernon, NY

BNP Paribas - New York, NY, United States

Identify regulatory trends and developments, advising business staff as to how this may affect their current activities and work with...

from: linkedin.com - 17 days ago

Equitable Advisors - Secaucus, NJ, 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

from: linkedin.com - Yesterday

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

from: efinancialcareers.com - 12 days ago

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

from: linkedin.com - 16 days ago

Equitable Advisors - Secaucus, NJ, 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

from: linkedin.com - 10 days ago

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

from: efinancialcareers.com - Yesterday

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

from: linkedin.com - 9 days ago

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

from: linkedin.com (+1 source) - 24 days ago

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

from: JPMorgan Chase Bank, N.A. - 2 days ago

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

from: linkedin.com - 10 days ago