Junior Compliance Jobs
The Compliance Officer assists the Deputy CCO and the CCO with overseeing all regulatory compliance for the traditional business of UBS Global Asset Management ("UBSAM") business in the Americas. The Compliance Officer coordinates with the CCO regarding the planning, risk assessment and reviews needed for the annual compliance report in order to comply with SEC Rules 38a-1 and 206(4)-7. The Comp...
Our client, a marquee Hedge Fund in Midtown Manhattan, is seeking a Compliance Analyst to join its Legal and Compliance Department. This ideal candidate has at least 1-2 years of Legal Assistant/Paralegal/Compliance experience and is looking for a career in Compliance. Candidates must posses a sense of urgency, attention to detail, and be a quick learner. This position requires about 70% of compli...
Overview: Interactive Brokers Group LLC, a Global Securities and Commodities business leader and one of the largest financial services firms in the U.S. has an immediate need for a Compliance Associate in our Chicago office. This position has excellent growth potential for highly motivated and exceptional performers. The ideal candidate has at least 0-2 years regulatory compliance experience wor...
Overview: Interactive Brokers Group LLC, a Global Securities and Commodities business leader and top-16 US Broker-Dealer (BD) / Futures Commission Merchant (FCM) has an immediate need for an Entry Level Junior Compliance Analyst in our Chicago office. In the absence of direct industry experience , we will also consider applicants with excellent Bachelor’s-level educational credentials who have s...
Bright Horizons L.P New York, NY
Corporate Credit Compliance Professional Job Number:: 3032167 Posting Date: Oct 8, 2014 Primary Location: Americas-United States of America-New York-New York Education Level: Bachelor's Degree Job: Compliance Employment Type: Full Time Job Level: Director Description Company Profile Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, s...
Citigroup Inc. APAC, NY
Brief Description of the Organization Citi, the leading global financial services company, provides consumers, corporations, governments and institutions with a broad range of financial products and services. Additional information may be found at www.citigroup.com. APAC - HK - Control Grounp - Compliance Support Analyst (C09)-14067589 Description Job Description: This role is a junior Complia...
Citigroup Inc. NAM, NY
Brief Description of the Organization Citi, the leading global financial services company, has some 200 million customer accounts and does business in more than 100 countries, providing consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, and wealt...
Invesco Atlanta, GA, 30301
Invesco Ltd. is a leading independent global investment management firm, dedicated to helping investors worldwide achieve their financial objectives. By delivering the combined power of our distinctive investment management capabilities, Invesco provides a wide range of investment strategies and vehicles to our clients around the world. Operating in more than 20 countries, the firm is listed on th...
Dimensional Fund Advisors Austin, TX, 78719
Overview: This position will advise and monitor front office trading and portfolio management, and will assist the firm's compliance officers in the evaluation, development, maintenance and oversight of regulatory compliance programs. Responsibilities: Provide pre- & post- trade compliance support to Portfolio Management and Trading staff. Extract investment guidelines from prospectuses, SAI's...
Essential Responsibilities • Conduct due diligence check on dealers and other types of ITPs, and complete ITPs company approval and authorization process pursuant to company compliance policies and ITP compliance specialist handbook; • Attend GCO as compliance expert to review and approve necessary risk areas of the company; • Draft and update GCO related compliance policies, especially ITP com...
Morgan Stanley New York, NY, 10007
Company Profile Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical...
Role Overview Junior Compliance Specialist needed to support day-to-day compliance needs of industrial/commercial client. Key Responsibilities Execute day-to-day compliance activities under the direction of senior staff, Primarily supporting RCRA program with potential to serve other programs (CAA, CWA, etc.) Researching regulations to ensure accurate reporting of facility inventories and complian...
Citigroup Inc. Long Island City, NY, 11101
The individual selected will report to the Compliance Head of the United States Commercial Bank and will have specific responsibility to support the Regulatory Compliance program for the U.S. Citi Commercial Bank business (“US CCB”). You will be responsible for advising the US CCB on its regulatory compliance risks and how to manage those risks through meetings and written communication. You will...
CITI Long Island City, NY
Description The individual selected will report to the Compliance Head of the United States Commercial Bank and will have specific responsibility to support the Regulatory Compliance program for the U.S. Citi Commercial Bank business (“US CCB”). You will be responsible for advising the US CCB on its regulatory compliance risks and how to manage those risks through meetings and written communicat...
Sealed Air Corporation Racine, WI
Overview: Sealed Air is a global leader in food safety and security, facility hygiene and product protection. With widely recognized and inventive brands such as Bubble Wrap® brand cushioning, Cryovac® brand food packaging solutions and DiverseyTM brand cleaning and hygiene solutions, Sealed Air offers efficient and sustainable solutions that create business value for customers, enhance the quali...
Get new jobs by email for this search
We'll keep looking and send you new jobs that match this search.
Upload your resume and let employers find you!
It's that simple!
Quality Assurance Career Tools
$33,280.00 - $108,000.00
Typical Salary for Compliance Analyst
Source: Monster.com Careerbenchmarking Tool
Education / Training
Some College Coursework Completed
Source: Monster.com Careerbenchmarking Tool
Maintains legal and regulatory compliance by researching and communicating requirements; obtaining approvals.
Rate of Growth
Size of Industry in 2006:
Source: Bureau of Labor Statistics, May 2006
Keeps other departments abreast of requirements by researching regulatory and filing information; writing and communicating guidelines.
Obtains approvals by revising forms and rates.
Popular Junior Compliance Articles
Whether your beat is auditing, tax, financial analysis, lending or another specialty, explore careers in finance and search for finance jobs now.
How Leaders Can Be Ethical Role Models
Corporate scandals have left many honorable execs feeling besieged. Follow these tips to keep business honest.
Build Your Construction Resume with Keywords
Attention construction workers: Adding keywords to your resume could expose you to more job opportunities.
Eight High-Paying Sales Jobs
Want to make the most money possible in sales? Take a look at these eight sales jobs that pay in the hundreds of thousands annually.