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...
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:...
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...
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...
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...
Location: Midtown Manhattan Compensation: $225K-$300K total compensation Job Description The Legal and Compliance Department consists of the General Counsel, the...
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...
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...
JOB REQUISITION New York City Risk and Compliance Intern - 2026 LOCATION NEW YORK CITY ADDITIONAL LOCATION(S) JOB DESCRIPTION Are You Ready to Live Something Different with...
Regulatory Compliance Officer (New York, NY): Our client, a $50B multi-strat fund with an international reach, is looking for a dedicated legal and compliance professional to sit in a newly established position.