88 Compliance Analyst Jobs in New York, NY
The Goodkind Group is Hiring a Compliance Analyst Near New York, NY
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 designed to achieve compliance with various Capital Partners securities offering documents, corporate governance practices, and institutional investor arrangements, as determined by the Legal team of Capital Partners. Monitor new legal and regulatory developments, assess applicable risk, continually enhance the responsive control environment for both the Capital Partners team and other assigned compliance related risks
A minimum of 3-5 years of experience in a compliance function for an SEC-registered investment adviser or exempt reporting adviser • Meaningful work experience in the US asset management industry and securities markets and familiarity with securities laws that relate to investment advisers, including the Investment Advisers Act, Investment Company Act, Securities Act, and Commodity Exchange Act
Job Summary
Full Time
Durable Manufacturing
$100k-127k (estimate)
05/31/2024
07/26/2024
thegoodkindgroup.com
NEW YORK, NY
100 - 200
1991
JONATHAN TELLER
$10M - $50M
Durable Manufacturing
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About The Goodkind Group
Founded in 1991, The Goodkind Group is a full-service recruitment consulting firm. Our staff has been carefully selected to include both industry experts and well connected, seasoned recruitment professionals. We provide permanent and temporary search services in various sectors including: Information Technology Accounting & Finance Digital Media Marketing Human Resources Financial Services Administrative Support Legal Services Our team is committed to delivering customized solutions and programs to our clients. With On-Site Programs and Sourcing Models, our services go beyond standard... staffing solutions. Our General Consulting Services provide assistance in the areas of Compensation Design and Development, Employee Opinion Surveys, Employment Policies and Practices, Performance Management, Regulatory and Compliance Issues, and Succession Planning.
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The following is the career advancement route for Compliance Analyst positions, which can be used as a reference in future career path planning. As a Compliance Analyst, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Analyst. You can explore the career advancement for a Compliance Analyst below and select your interested title to get hiring information.
If you are interested in becoming a Compliance Analyst, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Compliance Analyst for your reference.
Step 1: Understand the job description and responsibilities of an Accountant.
Quotes from people on Compliance Analyst job description and responsibilities
Compliance analysts can help ensure that your organization's products or processes meet compliance specifications.
03/13/2022: Hopkinsville, KY
They can audit members of professional organizations to determine whether they meet the standards set by the organization.
03/11/2022: Fresno, CA
Most of them contribute to security designs through acquisitions and/or system developments to deliver and maintain a compliant system.
02/10/2022: Clearwater, FL
Help companies remain compliant with regulations, thus preparing them for audits.
03/13/2022: Columbus, OH
The compliance analyst has a duty to maintain legal and regulatory compliance by researching, analyzing, and communicating regulatory requirements and obtaining the appropriate approvals.
02/27/2022: Casper, WY
Step 2: Knowing the best tips for becoming an Accountant can help you explore the needs of the position and prepare for the job-related knowledge well ahead of time.
Career tips from people on Compliance Analyst jobs
Every compliance analyst has slightly different duties, tasks, and responsibilities due to varying job descriptions.
12/30/2021: Billings, MT
Smaller organizations still focus on having a single compliance specialist rather than a complete department.
01/25/2022: Santa Cruz, CA
Sometimes, the compliance analyst works along with the compliance head and other compliance officers.
01/26/2022: Denver, CO
Ability to accurately complete applications for compliance certification.
03/08/2022: Fayetteville, AR
Get Certifications and Continue Learning.
12/24/2021: Saginaw, MI
Step 3: View the best colleges and universities for Compliance Analyst.
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