operational compliance advisor Jobs - 356


Edward Jones - Fairport,NY

Job Overview If you find yourself at a professional crossroads, a career as a financial advisor may be the right change for you. Financial advisors partner with clients to help them achieve their long-term financial goals:...

Date : 2024-12-06T00:20:40Z

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schonfeld - New York,NY

The Role We are seeking to hire an exceptional Compliance Officer to join our Global Markets Advisory Compliance team in our New York office. As Global Markets Advisory Compliance Officer you will act as subject matter expert for...

Date : 2024-11-30T11:27:41Z

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Capital One - New York,NY

NYC 299 Park Avenue (22957), United States of America, New York, New YorkCompliance Advisor Senior ManagerThe Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support...

Date : 2024-11-26T07:31:23Z

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Capital One - New York,NY

NYC 299 Park Avenue (22957), United States of America, New York, New York. Compliance Advisor Senior Manager. The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will...

Date : 2024-12-05T08:51:46Z

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Atlantic Group - New York,NY

Location: New York, NY Type: Perm (Contingency) Job #39013 Salary: $185,000 Job Overview - Associate Director/Director (Compliance Consulting): Are you currently in a...

Date : 2024-11-25T11:32:19Z

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LevelUP HCS - New York,NY

Compliance Testing & Policies Manager We are seeking a dedicated and experienced Compliance Testing & Policies Manager to join our team. In this role, you will be responsible for planning and executing substantive testing to...

Date : 2024-11-30T04:20:32Z

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XTransfer - all cities,NY

Job Description: Assist in preparing and submitting money transmitter license applications, renewals, and periodic reports, and support the team during examinations and respond to inquiries from...

Date : 2024-11-30T04:20:42Z

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Oppenheimer & - New York,NY

Who We Are: Oppenheimer & Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the...

Date : 2024-12-02T19:18:11Z

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Blue Ocean Wealth Solutions - East Hills,NY

Branch Compliance Manager - Compliance Department Blue Ocean Wealth Solutions, LLC East Hills, NY Blue Ocean Wealth Solutions, LLC helps people accomplish their most important financial goals...

Date : 2024-11-30T04:20:00Z

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ImpactBio - West Harrison,NY

Head of Compliance Are you a hands-on Compliance Leader ready to make an impact? We're looking for a dynamic professional who thrives in an entrepreneurial setting. This is a unique opportunity to take ownership, develop and lead...

Date : 2024-12-02T20:44:18Z

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