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134 compliance legal jobs found in New York, NY

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Interactive Brokers
Full time
 
Compliance/Legal Associate – Agreements and Disclosure Management (Temp).
Interactive Brokers Hybrid (Greenwich, CT, USA)
Company Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology....

May 19, 2025
Blackstone
Full time
 
Legal & Compliance - Credit & Insurance, Attorney, AVP
Blackstone New York, NY, USA
Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com . Follow @blackstone on  LinkedIn ,  X , and  Instagram . Blackstone Credit & Insurance Blackstone Credit & Insurance (“BXCI”) is one of the world’s leading credit investors. Our investments span the credit markets, including private investment grade, asset based finance, public investment grade and high...

Jun 10, 2025
Blackstone
Full time
 
Legal & Compliance - Transactions Attorney – Private Equity Strategies, VP
Blackstone New York, NY, USA
Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com . Follow @blackstone on  LinkedIn ,  X , and  Instagram . We are seeking an experienced Transactions Attorney to provide legal transactional support across Blackstone Private Equity Strategies. In this role you will be responsible for leading and managing complex transactions, including mergers and acquisitions...

Jun 07, 2025
Blackstone
Full time
 
Legal & Compliance - Credit & Insurance (BXCI) - Transactional Attorney, AVP
Blackstone New York, NY, USA
Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com . Follow @blackstone on  LinkedIn ,  X , and  Instagram . Blackstone Credit & Insurance (“BXCI”) is one of the world’s leading credit investors. Our investments span the credit markets, including private investment grade, asset based lending, public investment grade and high yield, sustainable resources,...

Jun 07, 2025
Blackstone
Full time
 
Legal & Compliance - Corporate Legal, AVP
Blackstone New York, NY, USA
Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com . Follow @blackstone on  LinkedIn ,  X , and  Instagram . The attorney will be part of a dynamic team responsible for a wide range of legal matters across the top of the house. Responsibilities:  The successful candidate will be a key member of the firm’s Corporate Legal group and work on a variety of matters,...

Jun 05, 2025
Blackstone
Full time
 
Legal & Compliance - Blackstone Private Wealth - Core Compliance, AVP
Blackstone New York, NY, USA
Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com . Follow @blackstone on  LinkedIn ,  X , and  Instagram . The Legal & Compliance department seeks an Assistant Vice President to support the complex and growing needs of Blackstone’s Private Wealth compliance program. The role will focus on assisting in compliance functions including: (I) review of educational and...

May 18, 2025
Blackstone
Full time
 
Legal & Compliance - Data Compliance & Risk, SVP
Blackstone New York, NY, USA
Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com . Follow @blackstone on  LinkedIn ,  X , and  Instagram . Blackstone is seeking an experienced and strategic SVP of Data Compliance and Risk to design, implement, and enhance oversight programs across Privacy, Cybersecurity, Artificial Intelligence and Records. Sitting within Blackstone’s Legal & Compliance group,...

May 15, 2025
Blackstone
Full time
 
Legal & Compliance - Risk Management Compliance, Associate
Blackstone NJ, USA
Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com . Follow @blackstone on  LinkedIn ,  X , and  Instagram . Compliance Risk Management (“CRM”) Overview CRM performs work on a variety of regulatory compliance related matters. The CRM team is an oversight control function within Blackstone Central Legal & Compliance designed to assess the effectiveness of...

Jun 08, 2025
Blackstone
Full time
 
Legal & Compliance - Broker Dealer (Ecomms), Associate
Blackstone NJ, USA
Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com . Follow @blackstone on  LinkedIn ,  X , and  Instagram . Department : Legal & Compliance - Central Compliance Position Overview The Legal and Compliance Department is seeking an E-Comms Surveillance Associate to join the central compliance team. The successful candidate will be responsible for providing...

Jun 06, 2025
Blackstone
Full time
 
Legal & Compliance - Broker Dealer (Ecomms), Analyst
Blackstone NJ, USA
Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com . Follow @blackstone on  LinkedIn ,  X , and  Instagram . Department : Legal & Compliance - Central Compliance Position Overview The Legal and Compliance Department is seeking an E-Comms Surveillance Analyst to join the central compliance team. The successful candidate will be responsible for providing...

Jun 06, 2025
Blackstone
Full time
 
Legal & Compliance - Risk Management Compliance, Analyst
Blackstone NJ, USA
Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com . Follow @blackstone on  LinkedIn ,  X , and  Instagram . Compliance Risk Management (“CRM”) Overview CRM performs work on a variety of regulatory compliance related matters. The CRM team is an oversight control function within Blackstone Central Legal & Compliance designed to assess the effectiveness of...

Jun 03, 2025
Blackstone
Full time
 
Legal & Compliance - Marketing & Distribution Compliance, VP
Blackstone NJ, USA
Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com . Follow @blackstone on  LinkedIn ,  X , and  Instagram . The employee will be a member of the compliance team focusing on regulatory compliance issues with respect to marketing and other investor/third-party materials and communications, as well as working with others on Blackstone’s global Legal and Compliance...

May 18, 2025
Gemini
Senior Associate, Resilience Management & Compliance
Gemini New York, NY, USA
About the Company Gemini is a global crypto and Web3 platform founded by Tyler Winklevoss and Cameron Winklevoss in 2014. Gemini offers a wide range of crypto products and services for individuals and institutions in over 70 countries. Crypto is about giving you greater choice, independence, and opportunity. We are here to help you on your journey. We build crypto products that are simple, elegant, and secure. Whether you are an individual or an institution, we help you buy, sell, and store your bitcoin and cryptocurrency.  At Gemini, our mission is to unlock the next era of financial, creative, and personal freedom. The Department: Platform Our Platform organization’s purpose is to enable Gemini to scale effectively and empower our engineering teams to focus on building innovative financial products and experiences for individuals around the world. Platform focuses around building a scalable and secure foundations platform, enabling Engineering to deploy,...

Jun 10, 2025
ION Group
Full time
 
Compliance Officer - Options/Equity Trading
ION Group New York, NY, USA
The Role: We are seeking an experienced Compliance Officer with a strong background in financial services, specifically within broker-dealer operations, US capital markets, and FINRA regulatory oversight. This role is critical in ensuring compliance with the SEC and FINRA regulations and supporting the firm's regulatory initiatives.    Key Responsibilities Support regular compliance testing and monitoring of policies and procedures including: personal trading; outside business activities; gifts and entertainment; registrations and filings; sales practice; and, operations Prepare written policies and procedures and support remediation efforts of compliance Assist in rule reviews of all U.S. options and equities exchanges along with FINRA and the SEC Assist in ongoing compliance training of the firm and orientation for new hires Ensure all required regulatory filings are completed on a timely basis and updated as necessary and confirm all associated persons...

Jun 06, 2025
Wintermute
Full time
 
Chief Compliance Officer - Broker Dealer
Wintermute New York, NY, USA
About Wintermute Wintermute is a technology unicorn and one of the leading global players in the digital asset markets. Wintermute is the largest crypto-native algorithmic trading company providing liquidity across all major exchanges and trading platforms. Our OTC desk offers a wide range of spot and derivatives products and supports over 2,000 counterparties across crypto natives and traditional financial institutions. We actively participate in the development of the blockchain ecosystem by being one of the largest players in DeFi as well as our investments arm, partnerships and incubations.  Wintermute was founded in 2017 by trading industry leaders and has successfully navigated multiple crypto industry cycles. Culturally, we combine the best of the two worlds: the technology standards of high-frequency trading firms in traditional markets and the innovative and entrepreneurial culture of technology startups. Read more here. Nature of the role: We...

Jun 06, 2025
FalconX
Compliance Analyst
FalconX New York, NY, USA
Who are we? FalconX is a pioneering team of operators, investors, and builders committed to revolutionizing institutional access to the crypto markets. Operating at the intersection of traditional finance and 
cutting-edge technology, FalconX addresses the industry's foremost challenges: Navigating the digital asset market can be complex and fragmented, with limited products and services that support trading strategies, structures, and liquidity found in conventional financial markets. As a comprehensive solution for all digital asset strategies from start to scale, FalconX operates as the connective tissue empowering clients with seamless navigation through the ever-
evolving cryptocurrency landscape. Impact: In this role, your day involves overseeing the Swap Dealer Compliance Program, ensuring adherence to CFTC, NFA, and SEC regulations. You'll conduct reviews for the Surveillance Program, advise on compliance enhancements, and respond to regulatory inquiries....

Jun 05, 2025
Blackstone
Full time
 
Legal - Blackstone Multi-Asset Investing (BXMA) - Fund Attorney, VP
Blackstone New York, NY, USA
Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com . Follow @blackstone on  LinkedIn ,  X , and  Instagram . Business Unit Overview:               Blackstone Multi-Asset Investing (BXMA) manages $84 billion across a diversified set of businesses. We strive to generate attractive risk-adjusted returns across market cycles while mitigating downside risk. Our...

Jun 05, 2025
TP ICAP
Full time
 
Head of Fixed Income Compliance
TP ICAP New York, NY, USA
Group Overview The TP ICAP Group is a world leading provider of market infrastructure.   Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions.    Through our people and technology, we connect clients to superior liquidity and data solutions.   The Group is home to a stable of premium brands. Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform.   The Group operates from more than 60 offices in 27 countries. We are 5,300 people strong. We work as one to achieve our vision of being the world’s most trusted, innovative, liquidity and data solutions specialist. Role Overview TP ICAP is seeking a Head of Fixed Income Compliance to provide...

Jun 04, 2025
Clear Street
Reg SHO Compliance Officer
Clear Street New York, NY, USA
About Clear Street: Clear Street is modernizing the brokerage ecosystem. Founded in 2018, Clear Street is a diversified financial services firm replacing the legacy infrastructure used across capital markets.  We started from scratch by building a completely cloud-native clearing and custody system designed for today’s complex, global market. Our platform is fully integrated with central clearing houses and exchanges to support billions in trading volume per day. We’ve agonized about our data model abstractions, created horizontal scalability, and crafted thoughtful APIs. All so we can provide a best-in-class experience for our clients.  By combining highly-skilled product and engineering talent with seasoned finance professionals, we’re building the essentials to compete in today’s fast-paced markets. The Role: At Clear Street, we dedicate ourselves to maintaining the highest standards of integrity and compliance within our trading operations.  We are seeking an...

Jun 04, 2025
Clear Street
Compliance Officer, Investment Banking & Capital Markets
Clear Street New York, NY, USA
About Clear Street: Clear Street is modernizing the brokerage ecosystem. Founded in 2018, Clear Street is a diversified financial services firm replacing the legacy infrastructure used across capital markets.  We started from scratch by building a completely cloud-native clearing and custody system designed for today’s complex, global market. Our platform is fully integrated with central clearing houses and exchanges to support billions in trading volume per day. We’ve agonized about our data model abstractions, created horizontal scalability, and crafted thoughtful APIs. All so we can provide a best-in-class experience for our clients.  By combining highly-skilled product and engineering talent with seasoned finance professionals, we’re building the essentials to compete in today’s fast-paced markets. At Clear Street, we are committed to excellence in investment banking and providing comprehensive advisory and capital raising services to our clients.  Our dynamic...

Jun 04, 2025
Adyen
Senior Commercial Business Manager
Adyen New York, NY, USA
This is Adyen Adyen provides payments, data, and financial products in a single solution for customers like Meta, Uber, H&M, and Microsoft - making us the financial technology platform of choice. At Adyen, everything we do is engineered for ambition.  For our teams, we create an environment with opportunities for our people to succeed, backed by the culture and support to ensure they are enabled to truly own their careers. We are motivated individuals who tackle unique technical challenges at scale and solve them as a team. Together, we deliver innovative and ethical solutions that help businesses achieve their ambitions faster. We’re looking for a Senior Commercial Business Manager to join our Financial Products team and help drive the commercialisation of Adyen’s Enterprise Banking offering. This is a key role contributing directly to one of Adyen’s five strategic growth drivers for 2025 and beyond. Based in either New York, Amsterdam, or London, you’ll report...

Jun 04, 2025
Clear Street
Full time
 
Compliance Officer, Investment Banking & Capital Markets
Clear Street New York, NY, USA
About Clear Street: Clear Street is modernizing the brokerage ecosystem. Founded in 2018, Clear Street is a diversified financial services firm replacing the legacy infrastructure used across capital markets.  We started from scratch by building a completely cloud-native clearing and custody system designed for today’s complex, global market. Our platform is fully integrated with central clearing houses and exchanges to support billions in trading volume per day. We’ve agonized about our data model abstractions, created horizontal scalability, and crafted thoughtful APIs. All so we can provide a best-in-class experience for our clients.  By combining highly-skilled product and engineering talent with seasoned finance professionals, we’re building the essentials to compete in today’s fast-paced markets. At Clear Street, we are committed to excellence in investment banking and providing comprehensive advisory and capital raising services to our clients.  Our dynamic...

Jun 04, 2025
Clear Street
Full time
 
Reg SHO Compliance Officer
Clear Street New York, NY, USA
About Clear Street: Clear Street is modernizing the brokerage ecosystem. Founded in 2018, Clear Street is a diversified financial services firm replacing the legacy infrastructure used across capital markets.  We started from scratch by building a completely cloud-native clearing and custody system designed for today’s complex, global market. Our platform is fully integrated with central clearing houses and exchanges to support billions in trading volume per day. We’ve agonized about our data model abstractions, created horizontal scalability, and crafted thoughtful APIs. All so we can provide a best-in-class experience for our clients.  By combining highly-skilled product and engineering talent with seasoned finance professionals, we’re building the essentials to compete in today’s fast-paced markets. The Role: At Clear Street, we dedicate ourselves to maintaining the highest standards of integrity and compliance within our trading operations.  We are seeking an...

Jun 04, 2025
Blackstone
Full time
 
Compliance - BXPE, VP
Blackstone New York, NY, USA
Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com . Follow @blackstone on  LinkedIn ,  X , and  Instagram . Blackstone seeks a Senior Vice President to join its Legal & Compliance team to provide support for the firm’s BXPE business. The candidate will be integrated rapidly into the business unit compliance team to ensure the compliance function continues to...

Jun 02, 2025
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Liquidity Finder Ltd is incorporated in England and Wales, company number 10610740, and whose registered address is
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Liquidity Finder endeavours to keep all information displayed on these pages accurate and up to date but we cannot guarantee that the page will be error-free or up to date. All information is provided for general information purposes only. It does not claim to be or constitute legal or other professional advice and cannot be relied upon as such. Please refer to our Terms of Service for more details.