Compliance Associate jobs in New York, New York (NY)
Showing jobs 1–25
- Quick Apply$80K - $120K •The Compliance Search Group • New York, NYPromptly review, analyze, and resolve issues relating to compliance engine-generated pre- and post-trade alerts and warnings.
- Develop and maintain relationships with key stakeholders, including within the businesses and other risk functions, to ensure implementation of an effective compliance program. Utilizing the knowledge of the business activities and products of the businesses supported, provide consulting and advisory services to business units to comply with applicable laws, regulations, and policies.
- Investigate the statistical and theoretical conceptual soundness of the embedded models or platform(s), along with the model selection rationale and defined assumptions.
- Quick ApplyC. Winchell Agency, Inc. • New York, NYMaintain and renew insurance company annual licensure and related state/municipality filing; review and analyze data calls and work with Data Reporting Manager on responses to states; monitor regulatory legislation and translate impact to staff to ensure compliance.
- Quick Apply$80K - $100K •Top Regional US Banking Institution • New York, NYAssist with the administration of monitoring and testing system, as well as the design and testing of system enhancements and strategic tool design.
- Interface with CB bankers, relationship managers and KYC Officers to obtain explanations related to client negative media and/or suspicious transactional activity.
- Provide daily advice to the business units on investing and lending activities, fundraising, investment adviser act requirements, and reputational risk.
- Develop, maintain, and conduct assessments/audits of custom framework for information security and technology standards and requirements for Planned Parenthood Affiliates.
- This role provides broad exposure to individuals across products, market structures across the globe, various algorithmic trading strategies and technology systems.
- Quick Apply$120K - $140K •Intermedia Group Inc • Jersey City, NJAdvise on potential compliance risks associated with the development of new products and systems or the potential risks associated with systems modifications and developments.
- Provide day-to-day compliance guidance and advice to business partners working with regional compliance officers as necessary; serve as a corporate contact with outside counsel and government investigators, as necessary, with respect to government investigations.
- Provide daily advice to the business units on investing and lending activities, fundraising, investment adviser act requirements, and reputational risk. Develop and implement compliance initiatives to comply with new rules and regulations.
- • Iselin, NJ and 1 other locationThe Director must be a strong leader who is able to work closely with Contracts associates and business partners in product, law, compliance and risk to ensure the products and services are provided to our customers with the highest quality and in a timely manner.
- Responsible for overseeing and organizing compliance's involvement in a multi - year project as well as being the key compliance contact for working groups and developing subject matter expertise in regulations applicable to the business.
- Designs and programs specific applications in response to department needs; installs and debugs new and/or upgraded software on server and client platforms, ensuring compliance with current site licenses; designs, programs, and manages websites and associated pages.
- Define standards and develop requirements for tools, analytics & reporting, and framework to capture and assess relevant conduct information on employees from all monitoring activities.
- Frequently interface with bankers, credit executives and KYC officers to provide explanation and guidance related to sanctions exposure and risk mitigation.
- Quick ApplyConfidential Company • New York, NY and 3 other locationsIn this role, the selected candidate will manage individual, corporate, and partnership tax compliance and consulting engagements. Other responsibilities include management and mentoring of staff and senior level associates.
- Proactively monitor compliance developments within the industry to ensure the firm's policies and procedures are meeting regulatory requirements and the firm is running a best-in-class compliance program.