Junior Compliance Jobs
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...
beaconhill New York, NY
Junior Compliance Analyst Location: --NewYork 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 lea...
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. 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...
vancity Buffalo, NY
Level I Responsible for ensuring that all areas of the Division are in compliance with local, state and federal regulations contractual agreements and Association mandates. Collaborates with Operational business areas to identify and improve processes that are not compliant and implement new regulations. Level II In addition to level I responsibilities, the second level will handle more complex...
AON Appleton, WI
Contact us About us My OnlineInsuranceJobs Return to search results Compliance Policy and Advisory Manager - ?45k - Central London [ Your browser does not support frames ] A highly respected and well established UK Insurance Company is seeking a Compliance Policy and Advisory Manager to join their rapidly expanding team based in London, just outside of the City in Central London. The role ...
The Ladders - Test Page New York, NY
About The Ladders - Test Page Compliance Search Group Description Our client is a management consulting firm and they are in need of an experienced regulatory compliance professional to service and manage client relationships. They are ideally looking for someone with SEC examination and/or investment management experience. Responsibilities will include: • Supervising junior compliance staff...
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...
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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
Maintains rapport with regulatory personnel by arranging continuing contacts; resolving concerns.
Obtains approvals by revising forms and rates.
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