Compliance Advisor Jobs in Newark, NJ

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

BNP Paribas - New York, NY, United States

The candidate will be responsible for providing compliance coverage to the Firm’s ECM business while also working closely with colleagues...

from: linkedin.com - 17 days ago

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

MedPro Systems - Mount Arlington, NJ, United States

Position Summary: As a Compliance Advisor and a member of the MedPro Compliance Advisory Services Team (“MCA”) you will leverage your expertise to provide pharmaceutical and medical device

from: linkedin.com - 13 days ago

JPMorgan Chase Bank, N.A. - Jersey City, NJ

advisors to the Risk and Compliance organization. As part of RM&C CFO, the RM&C Finance & Business Management team supports the firm's Chief Risk Officer, RM&C Chief Financial Officer and the Risk Operating

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

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

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

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