compliance analyst - broker dealer/ ria Jobs - 5345


RSM US LLP - New York,NY

We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our...

Date : 2024-09-23T17:05:47Z

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Cantor Fitzgerald - New York,NY

Job Title: Compliance Analyst- US Control Room Location: In office New York, NY Firm Overview: Cantor Fitzgerald is a diversified company primarily specializing in financial and real estate services for...

Date : 2024-10-02T02:42:54Z

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The LiRo Group - Buffalo,NY

Claims Analyst US-NY-Buffalo Job ID: 2024-2977 Type: Regular Full-Time # of Openings: 1 Category: Construction Management The LiRo Group Overview We have an...

Date : 2024-10-01T18:50:46Z

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Rockefeller Capital Management - New York,NY

About Rockefeller Capital Management Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to...

Date : 2024-10-04T01:40:12Z

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Larson Maddox - New York,NY

Our client, one of America's largest banking groups, is looking to hire an experienced Compliance professional at a Senior Manager / Senior Vice President level to lead specialist Compliance Testing programs across the firms Broker Dealer business...

Date : 2024-10-03T20:15:36Z

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eFinancialCareers - New York,NY

This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry leading team. The ideal candidate will have: 3-10 years Broker Dealer and Advisory compliance...

Date : 2024-10-03T20:20:30Z

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Goldman Sachs - New York,NY

Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide...

Date : 2024-09-25T18:31:26Z

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Synechron - New York,NY

We are At Synechron, we believe in the power of digital to transform businesses for the better. Our global consulting firm combines creativity and innovative technology to deliver industry-leading digital solutions. Synechron's...

Date : 2024-10-03T20:08:56Z

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Goldman Sachs - New York,NY

GLOBAL COMPLIANCE Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide...

Date : 2024-09-25T18:28:40Z

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East End Resources - New York,NY

EXPERIENCED COMPLIANCE ANALYST New York, NY 5 Days onsite in Downtown Manhattan The Role Our client, a NYC-based trading firm is looking for a Compliance Analyst to join their legal and compliance...

Date : 2024-10-02T02:42:35Z

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