Are you a business? Hire compliance auditor candidates in New York, NY
... auditors, etc.) is necessary for distributing compensation information, resolving issues, and ... Experience with Audits & Compliance Familiarity with internal and external audit processes ...
... compliance with policy * Work closely with Technology team to implement valuation setup for new ... Manage and coordinate communications with third party valuation service providers and auditors ...
Oversee regulatory reporting, including tax planning and compliance with statutory laws and ... Coordinate activities of external auditors * Develop and monitor business performance metrics
Prepare year-end workpapers and act as primary liaison with independent auditors to ensure ... Manage banking relationships and develop and maintain GAAP-compliant financial policies, procedures ...
Compliance Surveillance Analyst Essential Duties & Responsibilities: * Maintain and monitor employee brokerage accounts. * Timely follow-up with onboarding users, account disclosures and brokerage ...
A financial services firm in Midtown, NY, is seeking a Regulatory Compliance Manager for their Broker-Dealer team. This role will focus on overseeing and managing compliance initiatives, particularly ...
Primary Duties and Responsibilities: ● Responsible for the live monitoring of payments and messages via the banks OFAC filtering system to ensure all transactions are in compliance with OFAC ...
We are looking for an experienced compliance professional who will take on an integral role in helping to contribute to the management of Octagon's compliance program. Essential Duties and ...
The Guidelines and Restrictions team is tasked with ensuring compliance with investment guidelines across various accounts, including institutional separate accounts (both ERISA and non-ERISA ...
Ensure that any compliance issues or concerns with the firm are being appropriately escalated, evaluated, investigated, and addressed in a timely manner. * Perform other compliance-related ...
... are compliant with risk policies and regulations * Maintain a clean shop with good discipline ... Work with both internal and external auditors to ensure that audits progress smoothly and that any ...
Key Duties and Responsibilities: Assist with annual compliance review, preparation of annual report on policies and procedures Develop, review and revise policies and procedures Assist ...
We're seeking a diligent and proactive Customer Support team member to join our Compliance Team at Projecthitech LLC. In this role, you will be instrumental in reviewing property listings, verifying ...
We are looking for an Entity Compliance and Formation Associate to support the Finance and Real Estate departments in ensuring compliance with regulatory requirements and assisting in the formation ...
VP/Senior Associate - Compliance (New York, NY) : Our client, a leading $35B+ global investment manager with diverse product offerings, is hiring a driven Compliance Professional to join their ...
Top-Tier Bank in Midtown, Manhattan is seeing a Compliance Monitoring & Testing Specialist for a full-time position! Responsibilities: * Conduct ongoing monitoring and testing to ensure the effective ...
ZARA IS LOOKING FOR A COMPLIANCE MANAGER BASED IN NEW YORK. Started in 1975 in Spain, ZARA today is an internationally known fashion retailer represented in over 88 countries around the world. Our ...
Compliance Department LOCATION: New York, USA FLSA STATUS: Exempt JOB SUMMARY: FIU Analyst reports to Head, FIU and is responsible for monitoring and assessing Compliance Risks (including BSA/AML ...
Collaborate with Compliance Advisory and Central Compliance to support the development of an annual, risk-based Testing Plan * Contribute to the reporting for required Annual Compliance filings ...
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