serp_jobs.error_messages.no_longer_accepting
Compliance Associate
VirtualVocationsStaten Island, New York, United Statesjob_description.job_card.30_days_ago
serp_jobs.job_preview.job_type
- serp_jobs.job_card.full_time
job_description.job_card.job_description
A company is looking for a Compliance Associate to assist in all aspects of the compliance program.
Key Responsibilities
Maintain and update supervisory documents to ensure compliance with regulatory standards
Conduct reviews of regulatory disqualifying events and social media for compliance and quality assurance
Support regulatory exams by preparing key data and documentation and streamline compliance processes
Required Qualifications
1+ years of experience in a financial services company
FINRA SIE preferred
Associate's degree
Ability to evaluate risk and make impactful decisions
Solution-focused approach to compliance processes
serp_jobs.job_alerts.create_a_job
Compliance Associate • Staten Island, New York, United States
Job_description.internal_linking.related_jobs
Operational Compliance Associate I - Onsite, Rochester, NY.ICON plc is a world-leading healthcare intelligence and clinical research organization.
We’re proud to foster an inclusive environment driv...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
Vieux Vins Group is a prestigious wine and spirits company dedicated to curating a unique selection of fine wines and artisanal spirits from around the world.
With a rich heritage and a commitment t...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
The TDS US Compliance team is looking for Associate candidates to join the trade surveillance team.Preferred 3-5 years of experience in surveillance of either Fixed Income Products, Foreign Exchang...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
Join Novartis as the Associate Director, Compliance Transparency & Automation, and have the opportunity to develop and manage systems and capabilities for content compliance case management within ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
The Ares Legal & Compliance Department oversees and manages Ares' global legal, regulatory, and compliance functions and programs.
Under the leadership of the Global Chief Compliance Officer, the co...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
Waystone leads the way in specialist services for the asset management industry.Partnering with institutional investors, investment funds and asset managers, Waystone builds, supports and protects ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
Compliance & Governance Associate.Job Summary : We are seeking a detail-oriented and proactive Compliance & Governance Associate to support our organization's regulatory, risk management, and corpor...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
Optima Partners is looking for a Senior Associate of Compliance or Associate Director of Compliance to have senior oversight of client regulatory compliance matters for some or all of the following...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
Senior Associate, Regulatory Compliance.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...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
At Eisai, satisfying unmet medical needs and increasing the benefits healthcare provides to patients, their families, and caregivers is Eisai's human health care (hhc) mission.We're a growing pharm...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
Registered Funds Compliance Group Position.Blackstone is the world's largest alternative asset manager.We seek to create positive economic impact and long-term value for our investors, the companie...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
We are a a global financial technology firm serving over 200 of the world's leading financial institutions, including asset owners, broker-dealers, hedge funds, and lending banks.Since launchin...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30 Waystone leads the way in specialist services for the asset management industry.Partnering with institutional investors, investment funds and asset managers, Waystone builds, supports and protects ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30 
Compliance, Privacy, And Ethics Support.Provides support to the Compliance, Privacy, and Ethics Manager in addressing matters related to privacy, compliance, and ethics.
Assists in maintaining and e...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30 Optima Partners is looking for a Compliance Associate / Senior Compliance Associate in it's New York Office to assist with compliance reviews and advisory assessments for asset managers, hedge ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30 
Associate Director, Compliance Transparency & Automation.Join Novartis as the Associate Director, Compliance Transparency & Automation, and have the opportunity to develop and manage systems and ca...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
At Prudential, we believe talent is key to achieving our vision.When you join Prudential, you'll unlock a motivating and impactful career all while growing your skills and advancing your professio...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
Masterworks is a fintech platform that allows anyone to invest in SEC-qualified shares of multi-million dollar paintings by names like Banksy, Basquiat, and Picasso.
In just three short years, we ha...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
Our firm is seeking a highly motivated, organized, and detail-oriented individual who will assist the Compliance Staff and other members of the Firm to enhance the day-to-day administration and gro...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
Compliance Onboarding Associate.FalconX is a pioneering team of operators, investors, and builders committed to revolutionizing institutional access to the crypto markets.Operating at the intersect...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
Operational Compliance Associate I
ICONNew York, New York, USserp_jobs.job_card.permanent
- serp_jobs.job_card.promoted
Compliance Associate
Vieux Vins GroupNew York, NY, USserp_jobs.job_card.full_time
- serp_jobs.job_card.promoted
Trade Surveillance Associate (Compliance)
TD BankNew York, NY, USserp_jobs.job_card.full_time
- serp_jobs.job_card.promoted
Associate Director, Compliance Transparency & Automation
Novartis Group CompaniesEast Hanover, NJ, United Statesserp_jobs.job_card.full_time
- serp_jobs.job_card.promoted
Associate, Corporate Compliance
Ares ManagementNew York, NY, USserp_jobs.job_card.full_time
- serp_jobs.job_card.promoted
Associate Director - Compliance Solutions
WaystoneNew York, NY, USserp_jobs.job_card.full_time
- serp_jobs.job_card.promoted
Compliance & Governance Associate
eTeamNew York, NY, USserp_jobs.job_card.full_time
- serp_jobs.job_card.promoted
Associate Director of Compliance
Optima Partners Holdings LLCNew York, NY, USserp_jobs.job_card.full_time
- serp_jobs.job_card.promoted
Senior Associate - Regulatory Compliance Consulting (Global Banks)
RSMNew York, NY, USserp_jobs.job_card.full_time
- serp_jobs.job_card.promoted
Associate Director, Compliance Operations
EisaiNutley, NJ, United Statesserp_jobs.job_card.full_time
- serp_jobs.job_card.promoted
Registered Funds Compliance - Associate
BlackstoneNew York, NY, USserp_jobs.job_card.full_time
- serp_jobs.job_card.promoted
Compliance Associate - FinTech
EquiLendNew York, NY, USserp_jobs.job_card.full_time
- serp_jobs.job_card.promoted
Senior Associate - Compliance Solutions
WaystoneNew York, NY, USserp_jobs.job_card.full_time
- serp_jobs.job_card.promoted
Compliance Associate
University HospitalNewark, NJ, USserp_jobs.job_card.full_time
- serp_jobs.job_card.promoted
Compliance Associate / Senior Compliance Associate
Optima Partners Holdings LLCNew York, NY, USserp_jobs.job_card.full_time
- serp_jobs.job_card.promoted
Associate Director, Compliance Transparency & Automation
NovartisEast Hanover, NJ, USserp_jobs.job_card.full_time
- serp_jobs.job_card.promoted
Senior Associate, PGIM Central Compliance
Prudential FinancialNewark, NJ, USserp_jobs.job_card.full_time
- serp_jobs.job_card.promoted
Compliance Associate
MasterworksNew York, NY, USserp_jobs.job_card.full_time
Compliance Associate
ACG Consulting Group LLCNew York, NY, USAserp_jobs.job_card.full_time
serp_jobs.filters_job_card.quick_apply
- serp_jobs.job_card.promoted
Compliance Onboarding Associate
FalconXNew York, NY, USserp_jobs.job_card.full_time