Compliance

Manages Risk and Reputation for the
Entire Firm

About Our Division

The Division of Compliance works with all other divisions to ensure that its daily business activities are consistent with regulatory requirements. It monitors change in regulatory policy that affects our business interests, and it shares information with regulators to manage risk as it arises.

The division focuses on specific topics, each of which play a vital role in supporting the firm’s reputation. We look for analytically-minded people from all academic backgrounds that demonstrate excellence across multiple disciplines, a strong interest in financial services, strong interpersonal skills, and knowledge of securities laws and regulations.

The Work You'll Do

Your work will cover large geographic areas, encompass international regulatory policies, and support every person who works for the firm. Each person is embedded into the areas they support.You will survey risks, manage regulatory affairs, services, and resources related to all businesses and employees of the firm globally. You will work through centralized groups that include Financial Crime Compliance, Anti-Money Laundering/Suspicious Activities, Government Sanctions, Anti-Bribery, Global Compliance Services, Global Compliance Testing, Global Compliance Training, Regulatory Practice, Regulatory Reporting, and Surveillance Analytics. At at all times, you will keep the line of communication open with all other team members, and you will ensure that all practices are inline with current policies.

Division of Compliance is located at 14 Wall Street, New York, NY 10005

The People We Hire

A keen understanding of global regulatory policy demands that global compliance professionals are committed to integrity and excellence. They come from a variety of academic backgrounds and career paths, including attorneys, accountants, analysts, information technology experts, management consultants, business development and sales professionals, and traders.

We value mature communication and interpersonal skills, prudent decision-making skills, a high level of curiosity, and the ability to adapt to a fast-paced environment.

The Investment We'll Make

We help our people grow professionally, starting with their orientation and integration into the firm and continuing with ongoing development over the course of their careers. From ongoing feedback to diverse leadership programs, we’re committed to empowering our people to drive their own development and expand their horizons.

We emphasize a mentorship culture in which our junior team members learn by working closely with seasoned professionals. We believe this is a critical step to developing the next generation of leaders.

Interested in this Division?

We actively recruit talented people from all academic disciplines. Internships range from four to ten weeks and can lead to full-time job offers. With some exceptions, all new hires start as an Associate, an Analyst, or an Intern. We usually hire Directing Managers internally. All of our positions offer the opportunity to learn about the firm, its culture, and the financial services industry.

Compliance

Manages Risk and Reputation
for the Entire Firm

About Our Division

The Division of Compliance works with all other divisions to ensure that its daily business activities are consistent with regulatory requirements. It monitors change in regulatory policy that affects our business interests, and it shares information with regulators to manage risk as it arises.

The division focuses on specific topics, each of which play a vital role in supporting the firm’s reputation. We look for analytically-minded people from all academic backgrounds that demonstrate excellence across multiple disciplines, a strong interest in financial services, strong interpersonal skills, and knowledge of securities laws and regulations.

The Work You'll Do

Your work will cover large geographic areas, encompass international regulatory policies, and support every person who works for the firm. Each person is embedded into the areas they support.You will survey risks, manage regulatory affairs, services, and resources related to all businesses and employees of the firm globally. You will work through centralized groups that include Financial Crime Compliance, Anti-Money Laundering/Suspicious Activities, Government Sanctions, Anti-Bribery, Global Compliance Services, Global Compliance Testing, Global Compliance Training, Regulatory Practice, Regulatory Reporting, and Surveillance Analytics. At at all times, you will keep the line of communication open with all other team members, and you will ensure that all practices are inline with current policies.

The People We Hire

A keen understanding of global regulatory policy demands that global compliance professionals are committed to integrity and excellence. They come from a variety of academic backgrounds and career paths, including attorneys, accountants, analysts, information technology experts, management consultants, business development and sales professionals, and traders.

We hire analytical and detail-oriented individuals with excellent project management skills and a keen interest in financial markets, investment products, and international securities laws and regulations. We value mature communication and interpersonal skills, prudent decision-making skills, a high level of curiosity, and the ability to adapt to a fast-paced and dynamic environment.

The Investment We'll Make

We help our people grow professionally, starting with their orientation and integration into the firm and continuing with ongoing development over the course of their careers. From ongoing feedback to diverse leadership programs, we’re committed to empowering our people to drive their own development and expand their horizons.

We emphasize a mentorship culture in which our junior team members learn by working closely with seasoned professionals. We believe this is a critical step to developing the next generation of leaders.

Interested in the Compliance Division?

We actively recruit talented people from all academic disciplines. Internships range from four to ten weeks and can lead to full-time job offers. With some exceptions, all new hires start as an Associate, an Analyst, or an Intern. We usually hire Directing Managers internally. All of our positions offer the opportunity to learn about the firm, its culture, and the financial services industry.

 

Current Openings

Global Advisers is equal opportunity employer that does not discriminate in employment on any basis that is prohibited by federal, state, or local laws.

Disability Accommodation   Equal Employment Opportunity