New York, New York, United States · On-site
$130k–$150k/yr
About the Firm: Founded in 1968, Gilder Gagnon Howe & Co., LLC ("GGHC") is a registered investment adviser and broker-dealer giving individuals who possess long-term patience and fortitude an opportunity to create wealth…
Skills: Compliance Monitoring, Regulatory Filing, Trade Surveillance, Risk Management, Policy Drafting
New York, New York, United States · On-site
$34/hr–$36/hr
ABOUT GREYSTAR Greystar is a leading, fully integrated global real estate platform offering expertise in property management, investment management, development, and construction services in institutional-quality rental …
Skills: Property Management, Bookkeeping, Financial Reporting, Yardi, OneSite
New York, New York, United States · On-site
$130k–$135k/yr
ABOUT GREYSTAR Greystar is a leading, fully integrated global real estate platform offering expertise in property management, investment management, development, and construction services in institutional-quality rental …
Skills: Property Management, Financial Budgeting, Sales, Marketing, Customer Service
Niagara Falls, New York, United States · On-site
$18/hr–$23/hr
Location: 2429 Military Road - Niagara Falls, New York 14304 Job Summary Be a problem solver, trusted advisor, and partner to the people and businesses in our KeyBank communities. As a Teller, you provide excellent clien…
Skills: Cash Handling, Client Service, Financial Wellness, Account Management, Fraud Detection
Buffalo, New York, United States · On-site
$20/hr–$31/hr
Location: 2421 Main Street - Buffalo, New York 14214 Job Summary Be a problem solver, trusted advisor, and partner to the people and businesses in our KeyBank communities. Personal Bankers engage clients in deeper conver…
Skills: Relationship Building, Financial Wellness Planning, Sales Prospecting, Consumer Credit Analysis, Client Acquisition
North Tonawanda, New York, United States · On-site
$69k–$105k/yr
Location: 1071 Payne Avenue - North Tonawanda, New York 14120 Job Summary Be a problem solver, trusted advisor, and partner to the people and businesses in our Key Bank communities. The Branch Manager builds, coaches, de…
Skills: Sales Leadership, Small Business Banking, Client Relationship Management, Performance Management, Operational Compliance
Batavia, New York, United States · On-site
$20/hr–$31/hr
Location: 69 Main St - Batavia, New York 14020 Job Summary Be a problem solver, trusted advisor, and partner to the people and businesses in our KeyBank communities. Personal Bankers engage clients in deeper conversation…
Skills: Relationship Building, Sales, Financial Wellness Planning, Consumer Credit Analysis, Client Acquisition
Melville, New York, United States · On-site
$106k–$130k/yr
JLL empowers you to shape a brighter way. Our people at JLL are shaping the future of real estate for a better world by combining world class services, advisory and technology for our clients. We are committed to hiring …
Skills: Property Management, Budget Development, Financial Analysis, Tenant Relations, Variance Reporting
New York, New York, United States · On-site
$120k–$130k/yr
JLL empowers you to shape a brighter way. Our people at JLL are shaping the future of real estate for a better world by combining world class services, advisory and technology for our clients. We are committed to hiring …
Skills: Commercial Property Management, Tenant Relations, Budgeting, Invoicing, Financial Reporting
New York, New York, United States · On-site
$130k–$175k/yr
Over the last 20 years, Ares’ success has been driven by our people and our culture. Today, our team is guided by our core values – Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy – and our purpose t…
Skills: Financial Analysis, Market Analysis, Excel Modeling, Debt Sizing, Structuring
Farmingdale, New York, United States · On-site
$61k–$86k/yr
The Personal Banker SAFE Act is an entry level position responsible for the assistance in the execution of sales, products or service activities in coordination with the customer service team. The overall objective of th…
Skills: Sales, Customer Service, Cross-selling, Relationship Management, Small Business Lending
Buffalo, New York, United States · Hybrid
$75k–$124k/yr
This role offers a hybrid work schedule while providing the opportunity for in-person collaboration at our Buffalo, NY Tech Hub. Overview: Works closely with senior managers within the Division of Technology to manage ke…
Skills: Data Analysis, Project Management, Strategic Planning, Risk Management, Stakeholder Coordination
New York, New York, United States · Hybrid
$140k–$165k/yr
About Marble Marble is building the new operating system for youth mental health by connecting schools, therapists, and health plans on a single platform to unlock access to care today and raise the standard of care for …
Skills: Market Entry Strategy, Data Analysis, Operational Setup, Financial Modeling, Regulatory Research
New York, New York, United States · On-site
$155k–$260k/yr
At Numeric, we’re building the modern data platform for accounting and finance. We’re building the financial platform that realizes the dream of live, rich, trustworthy data and insights for companies to drive decision-m…
Skills: Backend Development, Data Structures, Database Fundamentals, Performance Optimization, Code Design
New York, New York, United States · Hybrid
$250k–$280k/yr
At Pair Eyewear, we believe in placing our people at the center of everything we do. We are dedicated to fostering a joyful and dynamic workplace, providing our employees with an environment where they can thrive and mak…
Skills: Financial Planning And Analysis, Accounting, Business Systems, Strategic Planning, Budgeting
New York, New York, United States · Hybrid
$225k–$325k/yr
Get to Know Us Kafene is revolutionizing the lease-to-own space. We're the point-of-sale powerhouse making flexible lease-to-own accessible to everyone—prime and non-prime customers alike. Our secret weapon? Cutting-edge…
Skills: SQL, Portfolio Economics, Consumer Credit, Lending Unit Economics, Pricing Strategy
New York, New York, United States · Hybrid
$120k–$140k/yr
Cambio is a software platform for world-class real estate decarbonization. We help commercial real estate owners and tenants bring their real estate portfolios to net-zero using a machine learning-driven, end-to-end real…
Skills: Financial Modeling, Budgeting, SQL, Vendor Management, HubSpot RevOps
New York, New York, United States · Hybrid
$180k–$250k/yr
Job Description: Job Title Institutional Client Group, ICG Credit, Americas Corporate Title VP Location New York, NY Overview This role sits within the Institutional Client Group unit and is responsible for meeting agree…
Skills: Fixed Income, Credit Derivatives, Institutional Sales, Client Relationship Management, Strategic Planning
New York, New York, United States · Hybrid
$109k–$164k/yr
Citi is looking for a Quantitative Analyst to join the Markets Quantitative Analytics team, building and deploying cutting-edge analytics, models, and tools for the Flow Equity Derivatives business across Index, Single S…
Skills: Python, C++, Mathematical Finance, Machine Learning, Statistical Modelling
New York, New York, United States · On-site
The Lead Finance Manager provides regional financial leadership and support to eight Cornell Cooperative Extension (CCE) Associations in the Capital Region through hands-on accounting support, financial and accounting gu…
Skills: Financial Leadership, Accounting, Budgeting, Forecasting, Financial Reporting
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The Compliance Associate supports the firm's adherence to laws and internal policies through employee activity monitoring and regulatory filing. Key duties include administering the Code of Ethics, conducting periodic testing, and assisting with regulatory audits.
Candidates need 3-5 years of compliance experience at an SEC-registered RIA or FINRA Broker-Dealer. Must be able to obtain FINRA SIE, Series 7, and Series 24 licenses within nine months of employment.
Founded in 1968, Gilder Gagnon Howe & Co., LLC ("GGHC") is a registered investment adviser and broker-dealer giving individuals who possess long-term patience and fortitude an opportunity to create wealth. Our clients are individuals who reach us by referral and give us a portion of their capital they wish to invest aggressively. We seek to grow our clients' capital through active research and trading of securities in their separately managed accounts.
Our team of approximately 90 employees is based on the west side of Manhattan in Hudson Yards. We are a firm united by our belief in growth investing for the long term. Each money manager is responsible for his or her own investment decisions. They are aided by analyst colleagues who scour the market for growth opportunities; allocators who help execute investment decisions and assist clients; and traders who connect us to the markets.The Firm’s service to clients is possible because of a focused group of individuals working within operations, systems, development, finance, human resources, and compliance.
GGHC is seeking a detail-oriented, proactive Compliance Associate to join its compliance team. The Compliance Associate will support the firm’s compliance efforts by helping ensure adherence to applicable laws, regulations, and internal policies and procedures. This role will assist with employee activity monitoring, support regulatory filings, audits and inquiries, policy and procedure maintenance, compliance training, and other core compliance functions.
Code of Ethics Administration: Assist in administering the firm’s Code of Ethics program (SEC Rule 204A-1 / FINRA rules), including oversight of annual employee attestations and certification processes.
Employee Activity Surveillance: Conduct routine monitoring, trade reviews, and escalation processes for personal securities transactions, Outside Business Activities (OBAs), Private Securities Transactions (PSTs), and Gifts & Entertainment.
Policy Enhancement: Support the implementation, maintenance, and ongoing enhancement of employee compliance policies to ensure full alignment with regulatory updates and firm standards.
Periodic Testing Program: Execute periodic testing under the firm’s SEC Rule 206(4)-7 and FINRA Rule 3120/3110 supervisory control programs.
Discretionary SMA Monitoring: Perform routine surveillance on discretionary account trading and commission structures, best execution, and trade allocation policies.
Daily Operations: Support daily compliance workflows, trade monitoring alerts, and operational department initiatives.
Manual Maintenance: Assist the Chief Compliance Officer (CCO) with implementing the core compliance program, updating the RIA Compliance Manual, Written Supervisory Procedures (WSPs), and desktop procedures as needed.
Regulatory Disclosures: Prepare, update, and file key regulatory disclosure documents, including Form ADV (Parts 1 & 2), Form BD, and Form CRS.
Regulatory Intelligence: Monitor SEC and FINRA regulatory developments, maintain current knowledge of industry changes, and analyze their operational impact on firm policies and procedures.
Training & CE Oversight: Coordinate and deliver compliance training for registered and unregistered personnel, including oversight of required Regulatory Element and Firm Element Continuing Education (CE) courses.
Audit & Exam Support: Assist the CCO in preparing for regulatory examinations (SEC, FINRA), managing document requests, and executing firm-wide compliance projects.
Special Projects: Provide active support for ad hoc compliance initiatives and cross-functional firm projects.
Required Skills and Qualifications:
Must successfully obtain the FINRA SIE, Series 7, and Series 24 licenses within the first nine (9) months of employment.
3-5 years of direct compliance experience at an SEC-registered RIA, FINRA Broker-Dealer or dual-registered firm.
Experience with trade monitoring and compliance platforms.
Strong analytics and drafting skills; ability to manage multiple regulatory deadlines in a fast-paced environment.
Strong verbal and written communication skills, with the ability to communicate complex compliance topics clearly and effectively.
Detail-oriented with the ability to manage multiple priorities, meet deadlines, and follow through on open items.
We are a registered broker dealer, and a registered investment advisor. Functioning as independent businessmen and women, we each have our own clients, but share a belief in growth investing for the long term. We each have different ways of analyzing companies and managing client accounts, but we work together to tap the group’s diversity of ideas and opinions. This multiplicity of opinion serves to test each idea from a variety of angles—both before and after a broker acts upon it. Although we share information, we often don’t invest in the same stocks or at the same time. In fact, we occasionally find ourselves on opposite sides of a security. While each broker is responsible for his or her own investment decisions, we are aided by our analyst colleagues who scour the market for growth opportunities; our account managers who help execute our investment programs and work with clients; and our traders who connect us to the markets. All brokers (and most employees at GGHC) invest their own money in the same companies as their clients. Successes and mistakes are felt by us all. There are times when clients’ accounts decline, and yet we continue to trade and charge commissions. Staying this painful course requires long-term thinking, trust, and patience.
Offices: 475 10th Avenue, 12th Floor, 12th Floor, New York, NY 10018, US
Based on 9307 listings with disclosed salaries, most finance & accounting jobs in New York pay between $80k–$214k per year. Individual offers vary with seniority, company size, and specialization.
There are currently 13,242 open finance & accounting positions in New York listed on Clera. New openings are added daily as companies post roles.
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