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Senior Associate, Trade Compliance & Surveillance
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-02-04
Listing for:
Cerity Partners LLC
Full Time
position Listed on 2026-02-04
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
A leading financial advisory firm is seeking a compliance professional in New York to ensure compliance with regulations and firm policies. This role involves developing trade surveillance, analyzing trade data, and collaborating with legal and finance teams. The ideal candidate has 3-7+ years in compliance, a bachelor's degree, and strong analytical skills.
Experience with the Investment Advisers Act and excellent communication abilities are essential for success in this fast-paced environment.
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Position Requirements
10+ Years
work experience
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