More jobs:
Broker-Dealer Compliance Advisor; Private Side - Hybrid
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-01-12
Listing for:
SMBC
Full Time
position Listed on 2026-01-12
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
Job Description & How to Apply Below
Location: New York
A leading global financial institution is seeking a Compliance Advisory Associate to support compliance risk management and provide regulatory advice within their New York office. The ideal candidate will have 4-7 years of experience in regulatory compliance, a solid understanding of US securities laws, and strong project management skills. The role allows for a hybrid work arrangement, supporting both remote and office work.
Interested candidates should apply with a focus on regulatory compliance experience and organizational abilities.
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