Compliance Associate Salary at D E Shaw & Co Lp BETA

EquityZen is a financial technology company, backed by leading venture and private equity investors. We're looking for a knowledgeable and hardworking Compliance Associate who has a strong interest in the pre-IPO space and private markets. Since 2013, the EquityZen marketplace has made it easy to buy and sell shares in private companies. EquityZen brings together investors and shareholders, providing liquidity to early shareholders and private market access to accredited investors. With low investment minimums through our funds and with more than 40,000 private placements completed across 450+ companies, EquityZen leads the way in delivering "Private Markets for the Public". WHAT YOU'LL DO Help to develop a cutting-edge FinTech marketplace Work cross-functionally with legal, deal, product, technology and marketing teams Gain client exposure and the opportunity to communicate with customers Assist with regulatory examinations, securities law matters, reviewing advertising and marketing

Role Assist in the preparation and documentation of the creation and implementation related to ISO 9001:2015 (Quality Management), ISO 27001:2022 (Information Security), and ISO 27701:2019 (Privacy Information Management) and market based sustainability requirements Coordinate and maintain documentation to support audits and ensure compliance with established standards Support communication and collaboration with international teams to facilitate process alignment and improvements Track and monitor progress on corrective actions, helping to ensure timely resolution of identified issues Prepare basic reports and summaries of audit activities, presenting key information to relevant stakeholders Contribute to the development and revision of internal policies and procedures concerning standards Provide support for training and awareness sessions on ISO standards for staff and stakeholders, in coordination with senior team members Requirements Basic knowledge or exposure to quality manageme

(5 days/week on-site) Our client is looking for a highly motivated and detail-oriented Fund Operations and Compliance Associate to join our team. The ideal candidate will have experience supporting the operational functions of registered funds, including coordination with service providers such as sub-advisers, fund accountants, administrators, transfer agents, and auditors. Key Responsibilities: Oversee fund operations and coordinate with service providers to ensure efficient processes and controls. Support liquidity management, fund flows, leverage, and financial modeling for performance and compliance. Assist with regulatory filings, compliance monitoring, RFIs, and due diligence responses. Collaborate with internal teams to support investor relations, sales efforts, and platform inquiries. Maintain accurate shareholder records and support transfer agency functions. Skills: Proficient in Microsoft Excel, PowerPoint, financial modeling, and forecasting Strong analytical capabilities

Job Description Job Description (Contract: Temporary | Monday – Friday | Remote: USA (New York) | Start Date: 2/10/25 | Pay Rate: $40 hourly) Lawyers on Demand (LOD) is seeking a Compliance Associate to support one of our global clients in delivering the highest level of service to internal and external clients alike. We are looking for a Compliance Associate with compliance experience in implementing SEC and FINRA rules to assist the Chief Compliance Officer (CCO) with managing the U.S. broker-dealer (BD) and registered investment adviser (RIA) compliance programs. Primary Responsibilities: Assist CCO with compliance reviews, testing, and management reporting. Assist CCO with the development, implementation, and maintenance of the BD and RIA’s compliance policies and procedures and training programs. Monitor compliance with policies surrounding employee personal trading, outside business activities, political contributions, and other BD and IA Code of Ethics policies and procedures. P

About the Company Quantum Lending Solutions redefines small business lending with our diverse and adaptable financial solutions. We are a dedicated lending partner focused on empowering small businesses to achieve their growth objectives. We are committed to fueling the growth of enterprises and small-to-medium businesses (SMBs) with our tailor-made financial services. Recognizing that each business has unique financial needs and growth trajectories, we offer a range of customized solutions. From agile microloans for quick capital injections to expansive term loans for long-term strategies, our diverse portfolio ensures that we have the right financial tools to support your journey whether you are scaling up or solidifying your market position. Job Summary We are seeking a detail-oriented and analytical professional to join our Compliance Audit team in Mexico City. This role will focus on leveraging data analytics to enhance audit and compliance reviews, identifying risks, and ensuring

Summary: The Compliance Associate is responsible for a variety of tasks in support of the Compliance Department's general operations. This position oversees employee affirmations and questionnaires, FINRA registrations, as well as a variety of ad-hoc assignments and projects. The Compliance Associate actively contributes to departmental goals focused on testing programs, risk monitoring, department efficiencies, and regulatory support. Primary Responsibilities: Core Functions: Manage new hire onboarding requirements and conduct one-on-one meetings Oversee employee surveillance including brokerage account monitoring, exception reviews, outside business activities, and political contributions Approve and monitor gifts and entertainment reporting Distribute and review compliance affirmations and acknowledgements Support regulatory exams and internal audits Manage FINRA registrations and assist with regulatory filings Testing & Risk Monitoring: Complete assigned compliance tests with thoro

Job Description Job Description Job Title: Quality & Compliance Associate - WEEKEND SHIFT Reports to: Quality & Compliance Supervisor Department: Quality & Compliance FLSA: Non-exempt (eligible for overtime) Location: Breinigsville, PA ___________________________________________________________________________ ALL CANDIDATES MUST PASS A PREEMPLOYMENT DRUG SCREENING BEFORE EMPLOYMENT. Job Summary: At Trinity Glass International, we are committed to fostering and nurturing empowerment, teamwork, integrity, diversity, and growth. We operate with transparency and believe that this foundation of taking ownership, overcoming adversity through teamwork, and embracing change will allow us to grow as professionals and as a corporation. Trinity Glass International has fulltime quality inspector positions available at our Breinigsville, PA manufacturing facility. The successful candidate will be a team player and have a demonstrated ability to work in a fast-paced manufacturing environment. The s

Job Description Job Description Job Title: Quality & Compliance Associate - WEEKEND SHIFT Reports to: Quality & Compliance Supervisor Department: Quality & Compliance FLSA: Non-exempt (eligible for overtime) Location: Breinigsville, PA ___________________________________________________________________________ ALL CANDIDATES MUST PASS A PREEMPLOYMENT DRUG SCREENING BEFORE EMPLOYMENT. Job Summary: At Trinity Glass International, we are committed to fostering and nurturing empowerment, teamwork, integrity, diversity, and growth. We operate with transparency and believe that this foundation of taking ownership, overcoming adversity through teamwork, and embracing change will allow us to grow as professionals and as a corporation. Trinity Glass International has fulltime quality inspector positions available at our Breinigsville, PA manufacturing facility. The successful candidate will be a team player and have a demonstrated ability to work in a fast-paced manufacturing environment. The s