Associate jobs in Financial Services

This role supports a broad range of compliance functions, including compliance testing and monitoring, trade surveillance investigations, Code of Ethics and personal trading oversight, AML/KYC reviews, and SEC/RIA regulatory compliance. The position also involves preparing regulatory filings and documentation while partnering with business stakeholders to ensure adherence to regulatory requirements and internal policies.

This role supports a broad range of compliance functions, including compliance testing and monitoring, trade surveillance investigations, Code of Ethics and personal trading oversight, AML/KYC reviews, and SEC/RIA regulatory compliance. The position also involves preparing regulatory filings and documentation while partnering with business stakeholders to ensure adherence to regulatory requirements and internal policies.

The Compliance Analyst (AVP Level) will play a key role in ensuring adherence to regulatory requirements within the financial services industry. Based in New York, this role supports the Risk & Compliance department by monitoring compliance programs and identifying areas for improvement.

The Compliance Associate will support the Risk & Compliance department by ensuring adherence to regulatory standards and internal policies. The role is based in New York and focuses on maintaining compliance frameworks within the financial services industry.

The Regulatory Reporting Associate will support financial reporting processes to ensure compliance with FINRA and SEC regulations.

The Vice President will be part of the team responsible for the origination, structuring, and execution of Project Finance deals

This is a high-impact Internal Communications Associate role within a globally recognized investment firm, supporting strategic internal messaging across the business. You will partner closely with senior stakeholders to deliver clear, engaging communications across multiple channels.

This position plays a critical role in supporting and overseeing key payment and settlement activities in a fast-paced, time-sensitive environment.

The successful candidate will be responsible for monitoring operational processing, managing exceptions, coordinating issue resolution, and ensuring critical deadlines are consistently achieved.

Part of the Audit team responsible for Investment Management. This position participates in local and global audits of the firm's Investment Management business, while supporting other Internal Audit activities including risk assessment, issue remediation validation, and continuous monitoring.

- Opportunity to join a growing accounting function and get involved in tasks outside of accounts payable- fund accounting, tax, etc.

- The firm offers an excellent comp package & benefits CONTACT LINDSEY FERRUZZI - 212-336-6236Apply today and your resume will be considered within 24 hours!

The Associate Tax Counsel will provide expert tax advice and support to the business, ensuring compliance with applicable laws and regulations. This role focuses on delivering strategic tax solutions and contributing to effective financial planning within the company.

The Assistant Corporate Secretary will provide essential, ensuring compliance with corporate governance and regulatory requirements. This role requires a meticulous and organized individual to manage key legal and administrative functions effectively. Candidates must have experience as a corporate secretary within a large, regulated institution - ideally banking, but open to experience in insurance or large publicly traded organizations as well.

The Associate Tax Counsel will play a key role in providing tax-related legal guidance and support within the asset management industry. This position focuses on ensuring compliance with tax regulations and advising on tax matters to support the company's objectives.

My client is seeking a driven and commercially astute investment banking professional to join its Technology Investment Banking group at the Associate Director or Director level, based in the United States. The individual will be the primary business development and execution lead for enterprise technology mandates in North America, with a focus on software, SaaS, AI/ML infrastructure, cybersecurity, cloud services, and IT services businesses.

Our client is seeking a Human Capital Associate to join their global HR team as the HR representative for its New York office. This newly created position comes as the firm continues to expand across the U.S. and globally, creating an excellent opportunity for an HR professional who enjoys balancing recruiting, payroll, employee support, and HR operations within a high-performance investment environment.