As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world's investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide. Join us and be part of something extraordinary. This role is located in New York City or Jersey City. Bachelor's degree or professional certification preferred. 5-7 years relevant compliance and/or financial services experience preferred. Thorough knowledge of relevant financial industry rules and regulations (SEC & FINRA). Solid understanding of compliance and risk management best practices. This is a high-visibility role for a candidate who is eager to proactively manage risk and influence positive business outcomes in a fast-paced, innovative environment. Proven ability to influence stakeholders at all levels of the organization and drive compliance initiatives in a collaborative, matrixed environment. Experience in the review of investment adviser and broker-dealer advertising and marketing materials a plus.
