Compliance Jobs
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Senior Compliance Associate, International Sales
Senior Compliance Associate, International Sales A global financial institution is seeking a Senior Compliance Associate to support its International Sales and Sales Trading functions. This role focuses on providing day‑to‑day compliance coverage for cross‑border equity activity, including review of international offerings, oversight of communicati...
Regulatory Compliance, Private Equity
Regulatory Compliance - Private Equity My client is a leading and growing firm, and we are looking to recruiting for a Compliance Officer to be based in the Singapore office, to building a strong governance and risk culture, ensuring adherence to regulatory expectations in SingaporeResponsibilities for this Regulatory Compliance - Private EquityPro...
Surveillance Associate
Surveillance Associate - Global Investment Bank (Hybrid, NYC)Salary Range: $100,000 - $120,000Our client, a leading global investment bank, is seeking a Surveillance Associate to join its Compliance Department. This role is a key part of the Surveillance team, responsible for monitoring trading activity, investigating potential rule violations, and...
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Compliance & Oversight Leader
Compliance & Oversight LeaderSalary: $155,000-$165,000Location: Connecticut (Hybrid model)Overview Seeking an experienced professional to lead oversight, monitoring, and compliance functions within a cutting-edge financial services firm focused on complex markets & transactions. Key ResponsibilitiesManage a team responsible for reviews, monitoring...
Compliance Manager RIA
Our client, a Registered Investment Advisor (RIA) group is experiencing rapid growth, and looking for a Compliance Manager to join our team and support the group as they scale responsibly. The firm are an individual client focused, RIA group dedicated to delivering personalized investment solutions and exceptional service. As they expand, they rem...
FCC VP/SVP Global Bank
My client is a global bank looking for an FCC VP/SVP in Dubai in the private banking business.🌟 Responsibilities: Expert Advisory: Provide specialist AML/CFT advice to the Private Banking business, particularly on high-risk jurisdictions, including African countries.Due Diligence Decisions: Analyze complex and high-risk client due diligence cases ...