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Phaxis
New York, NY, United States
COMPLIANCE ANALYST AT GLOBAL FINTECH FIRM Base Salary is $100K to $120K (based upon candidate and experience) Year-end Bonus; and Excellent Benefits Solidly established Global FinTech Firm is looking for an experienced individual to work closely with its Team of Attorneys and Compliance Professionals as a Compliance Analyst . In this role, you
Job Source: PhaxisRockefeller Financial
New York, NY, United States
About Rockefeller Capital Management: Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corpo
Job Source: Rockefeller FinancialCity of New York
New York, NY, United States
Company Description Job Description PLEASE NOTE APPLICANTS MUST BE PERMANENT IN THE ASSOCIATE STAFF ANALYST CIVIL SERVICE TITLE.OR IN A COMPARABLE TITLE ELIGIBLE FOR 6.1.9. The DSS Accountability Office's ORCA is charged with working closely with internal and external partners to ensure that DHS facilities, directly-managed and those managed by
Job Source: City of New YorkThe Goodkind Group
New York, NY, United States
Reporting directly to the SVP, Deputy Chief Compliance Officer, the Compliance Analyst will assist with the design and daily responsibilities of the compliance program for Capital Partners, managing a range of legal, regulatory and compliance risks associated with third-party capital management in a SOX environment Maintain and update controls desi
Job Source: The Goodkind GroupSolve IT Strategies, Inc.
New York, NY, United States
Solve IT Strategies is looking for a Compliance Analyst. This role is located at New York, NY. The Main Responsibilities of a person are: Assisting in the development and enhancement of transaction monitoring and screening models. This includes conceptualizing new TM scenarios, testing, tuning and deployment to production environments Performin
Job Source: Solve IT Strategies, Inc.Quest Diagnostics
Secaucus, NJ, United States
Overview: The IT compliance analyst is a critical role to our compliance program. This position assists with internal and external audits by our pharmaceutical clients, College of American Pathologists (CAP), New York State, International Standards Organization (ISO), Internal and External Quality Assurance teams (including Medical Quality Assuran
Job Source: Quest DiagnosticsFernridge Group
New York, NY, United States
Title: Legal and Compliance Analyst Firm: $40B+ private equity and hedge fund Location: New York, New York (in the office 3 days a week) Compensation Range: $100,000 - $140,000 base plus year end bonus Highlights: Opportunity to work for one of the top investment managers with excellent performance and stability This new hire will interact with all
Job Source: Fernridge GroupActalent
Hackensack, NJ, United States
Great Opportunity to Work in Oncology Research! Hybrid Opportunity AFTER FIRST 90 DAYS! Competitive Pay! REQUIRED: 1+ years of Clinical Research Billing/Finance experience Research Medicare Coverage Analysis experience Experience with EPIC and CTMS Oncology experience highly preferred, not required! RESPONSIBILITIES: Coordinate with resear
Job Source: Actalent, , United States
About The Role: At Facet Wealth, we put the client above all else. As a Compliance Analyst, you will live out this value by working on a daily basis with the entire Facet team to ensure that we continue to build a work environment where all issues are handled with the highest integrity, we do what is in the best interest of our clients and we ensure that we are in compliance with all regulatory requirements. We work in a fast paced environment and we’re trying to disrupt the industry so your work will be critical in supporting the solutions we need to find for our clients.
Responsibilities: You are responsible for supporting all our critical day to day compliance responsibilities including IAR registrations, communication reviews, OBA’s and more.
You will partner with assigned business partners to directly support their day to day activity, business initiatives and compliance needs. This could include marketing programs, product development and introducing new member capabilities.
You are a daily resource to the team on compliance questions and issues, and work with the team on ongoing needs and challenges.
You are a key point of contact in resolving member problems and issues so we can quickly manage any situation to do what is best for our members.
You will support our ongoing regulatory filings (ADV’s are important) and member agreements.
You will work with compliance partners, and other outside resources we use to ensure we always have an up to date and forward looking program, and solve critical problems.
You will support the onboarding of all new hires into our compliance program.
You are proactive in building out policies and procedures that meet the changing needs of our growing business.
Requirements
Bachelor’s degree or higher
5+ years of compliance experience with a Registered Investment Advisor
Preferred Skills & Experience: You are willing to learn the Facet Way and understand how to support it with compliance expertise.
You have experience in working with marketing and advertising, and have shown an ability to support teams with compliant solutions to deliver the firm’s message.
You have experience in working in operations, with custodians and understand the basics of trading.
You have shown an ability for creative problem solving to come up with balanced solutions to meet the needs of different stakeholders.
You have experience with audits or in doing risk assessments.
You have superb communication, organizational and client service skills.
You have excellent computer skills along with the ability to learn in-house software and tools
You have the ability to provide constructive feedback: we continue to enhance our offering and rely on our team’s feedback for improvement
You are able to work independently and as a member of a team, balance multiple responsibilities simultaneously, and demonstrate exceptional time and calendar management skills
Benefits
$100,000-$120,000 base salary + bonus
Equity
Flexible PTO
All the benefits: medical, dental, and vision insurance, 401(k) with employer match, short and long term disability coverage (paid by Facet) & life insurance options
Certification reimbursement program
Work from anywhere in the US
Email Alert for Compliance Analyst jobs in , , United States
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