Find New York Compliance Advisor jobs - New York Area Job Search for Compliance Advisor jobs (page 1)

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Hedge Fund/Registered Investment Advisor Compliance Professi: Resources Global Professionals - Westchester, New York; Banking / Mortgage; Job Title: Hedge Fund/Registered Investment Advisor Compliance ProfessionalProfession: Banking -> Investment BankingResources Global Professionals is currently seeking dynamic and highly motivated Attorneys and Compliance Professionals with experience in Hedge Fund or Registered Investment Advisor compliance to join our Tri-State practice. As a Consultant with Resources Global Professionals you will have the ability to play an instrumental role in assisting clients in a variety of challenging projects.Professional Qualifications:Expertise in regulatory compliance within Hedge Funds (see more)

Anti-Money Laundering Compliance Manager OFAC ADVISOR: Compliance Search Group - Westchester, New York; Management; Top-tier financial services firm is seeking an AML Compliance Manager with OFAC Advisory experience.This OFAC Compliance Manager position will provide day-to-day guidance and support to the various businesses on licensing, regulatory interpretation, risk assessments, new products and programs, new business initiatives, training and litigation. The position reports to the AML OFAC Compliance Director and is an integral part of the Corporate AML Compliance responsibilities to protect the organization and to fulfill the Bank's regulatory and risk requirements.The position will perform additional (see more)

Senior HR Business Advisor: AOL - New York City, New York; Management; Job Title: Senior HR Business AdvisorProfession: Analysis/Consulting/Project Management -> Management ConsultingRequisition # 122735BRPosting Job Title Senior HR Business AdvisorBrand Business SupportMarket Location US - New York - New York CityPositionType Full TimePosting Job Description Passionate, curious, creative? Our employees have helped to create popular and engaging online products and destinations that attract over 150 million unique visitors each month globally. As a result, AOL is a leading global web services company with a substantial worldwide audience, a suite of (see more)

Principal Compliance Specialist, Retail Deposits: Capital One - Long Island, New York; Banking / Mortgage; Job Title: Principal Compliance Specialist, Retail DepositsProfession: Banking -> Commercial/Corporate Banking ServicesPRINCIPAL COMPLIANCE ASSOCIATE, RETAIL DEPOSITS The Compliance Specialist performs a support role in Compliance to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The Compliance Specialist works within the Compliance Management Program framework and is responsible for delivering on specific tasks and repeatable processes. The Compliance Specialist interacts primarily with associates in the (see more)

Financial Advisor Trainee: Full Service Investment Bank - Binghamton/Elmira, New York; Accounting / Finance; Job DescriptionThe Practice Management Development (PMD) role is a training program to develop and prepare future Financial Advisors for a successful new career. The primary focus of the PMD role is to build and enhance client relationships under close supervision of coaches and managers. These client relationships are the base for your book of business. Financial Advisor Trainees learn to assess client needs, meet with existing and prospective clients, review investment goals and prepare recommendations for products such as stocks, bonds, options, mutual funds and (see more)

Financial Advisor Trainee: Full Service Investment Bank - Rochester, New York; Accounting / Finance; Job DescriptionThe Practice Management Development (PMD) role is a training program to develop and prepare future Financial Advisors for a successful new career. The primary focus of the PMD role is to build and enhance client relationships under close supervision of coaches and managers. These client relationships are the base for your book of business. Financial Advisor Trainees learn to assess client needs, meet with existing and prospective clients, review investment goals and prepare recommendations for products such as stocks, bonds, options, mutual funds and (see more)

Chief Compliance Officer - Broker Dealer Job: Sun America - Westchester, New York; Executive Management; Job Title: Chief Compliance Officer - Broker Dealer JobProfession: Analysis/Consulting/Project Management -> Operations ManagementChief Compliance Officer - Broker DealerJob ID #: 68203Location: NY-New YorkFunctional Area: ComplianceBusiness Line: Advisor GroupEmployment Type: Full Time - PermanentEducation Required: Masters Degree (or equivalent)Experience Required: 10+ yearsRelocation Provided: NoTravel Percentage: 10Position Description:The Chief Compliance Officer ("CCO") will manage the compliance team responsible for implementation of the Royal Alliance Associates (see more)

Financial Advisor: Householder Group - Buffalo, New York; Accounting / Finance; Householder Group doesn't just talk about marketing and success. We help you create and execute a detailed plan. Offering expertise and truly personal support every step of the way! We are a national financial and estate planning firm with a boutique atmosphere. We have a proven track record assisting advisors build successful practices using our proprietary marketing system, personal support and accountability. That's why Householder Group advisors earn more. How much more? More than double the industry average. If you value: Proven business systems Marketing expertise Truly personal support (see more)

Hedge Fund Compliance Associate: Compliance Search Group - Westchester, New York; Executive Management; Our client is a growing, dynamic fund of hedge funds investment firm. The company seeks a motivated individual to join the existing compliance staff. This person will have the opportunity to get involved with a variety of functions. This is a unique opportunity for someone with the requisite skills who is up to the challenge of working in a collaborative, team-oriented environment. Responsibilities include: Researching, understanding, and interpreting SEC Registered Investment Advisor laws and regulations and similar regulatory areas such as ERISA. Interacting with the firm’s (see more)

Financial Services Advisory - Compliance Technology (AML) -: Ernst & Young - Westchester, New York; Management; Job Title: Financial Services Advisory - Compliance Technology (AML) - SeniorProfession: Analysis/Consulting/Project Management -> Management ConsultingTitle: Financial Services Advisory - Compliance Technology (AML) - SeniorLocation: NY-New YorkWe currently are seeking a highly motivated Senior to support client engagement teams, work with a wide variety of clients to deliver professional services, and support business development activities on strategic and global priority accounts.Ernst & Young's Financial Services Office (FSO) is a uniquely industry-focused business unit that (see more)

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