Top Tech Jobs & Startup Jobs in NYC, NY

Review and approve marketing and advertising materials for proprietary and third-party funds and advisory programs to ensure FINRA and SEC compliance; draft disclosures; submit materials to FINRA and manage correspondence; advise broker-dealer and investment advisers on marketing issues; assist with preparation and amendments of Form ADV filings.

Support daily New Accounts operations: review and code DocuSign account documents, update institutional settlement instructions, back up W-8/W-9 coding, provide client service escalation, coach junior staff, support senior team members, and perform other assigned tasks to ensure accurate account openings and maintenance.

Perform AML investigations for retail and institutional accounts: gather transactional data, analyze trends and typologies, conduct high-risk account reviews, prepare SARs, clear alerts, and report findings with recommendations to management. Use Excel/VBA/SQL and AML surveillance tools; collaborate across AML Compliance and business teams.

Handle IRA and qualified retirement plan transactions (contributions, transfers, rollovers, distributions, recharacterizations), process death claims, use FINET, and support ad hoc projects while communicating with internal stakeholders.

Support a Senior Analyst covering electronic components, consumer hardware, and digital media. Conduct company and thematic research, build and maintain integrated 3-statement financial models, manage proprietary data sets and valuation comps, initiate independent research projects under tight deadlines, and communicate clear, evidence-based investment opinions in written reports and internal collaboration.

Support the senior semiconductor equity research analyst by building and maintaining financial models, producing company and industry research reports, organizing industry data, and communicating findings to sales, trading, and clients. Require strong modeling, writing, analytical, and client-facing skills.