operational compliance advisor Jobs - 301


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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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 : 2024-12-01T06:21:27Z

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Protiviti - New York,NY

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...

Date : 2024-12-03T07:43:07Z

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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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M&T Bank - Buffalo,NY

Overview:This position is responsible for the management and oversight of the delivery of second line risk management services in line with area policies, industry standards, and management expectations. The position will be responsible for...

Date : 2024-11-29T07:09:51Z

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National Financial Partners - New York,NY

Who We Are Wealthspire Advisors is a Fee-Only Fiduciary with 20+ locations throughout the East Coast, West Coast, Midwest, and Mid-Atlantic regions, specializing in exceptional service to clients that pairs tailored portfolios with a...

Date : 2024-12-02T08:31:47Z

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Indium Corporation - New Hartford,NY

JOB SUMMARY: The Trade Compliance Specialist is responsible for assisting the Global Logistics & Trade Compliance Manager with the oversight, development, and maintenance of Indium Corporation's imports and exports of commodities, services, and...

Date : 2024-12-03T19:34:51Z

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Clear Street - all cities,NY

About Clear Street: Clear Street is modernizing the brokerage ecosystem. Founded in 2018, Clear Street is a diversified financial services firm replacing the legacy infrastructure used across capital markets. We...

Date : 2024-12-01T00:14:07Z

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Xero - New York,NY

Xero is a beautiful, easy-to-use platform that helps small businesses and their accounting and bookkeeping advisors grow and thrive. At Xero, our purpose is to make life better for people in small business, their advisors, and communities...

Date : 2024-12-03T20:48:24Z

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