Regulatory Jobs
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Senior Compliance Officer Surveillance
An up and coming fintech firm in Chicago is looking to hire a Senior Compliance Officer. In this key role, you will help ensure that both the broker-dealer firm and its registered representatives remain fully compliant with FINRA and SEC regulations. As a vital member of a lean and dynamic compliance team, you'll collaborate across departments to s...
Director of Regulatory Rates
We are currently partnered with a utility company based out of Florida who is looking to bring on an addition to their regulatory teams. This energy provider is committed to delivering safe, reliable, and sustainable power that supports communities and drives innovation. With a strong emphasis on integrity, safety, and customer trust, the organizat...
Head of Compliance Shipping
Head of Compliance - Global Shipping & LogisticsWe are partnering with a global leader in shipping and logistics to appoint a Head of Compliance. This strategic leadership role offers the opportunity to oversee a global compliance function and work closely with senior leadership to shape and embed a strong compliance culture and governance framewor...
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Compliance MLRO MSO Licesne
Job Summary:We are seeking a highly experienced and detail-oriented MLRO to lead our compliance efforts in Hong Kong. The ideal candidate will have a strong background in MSO compliance, particularly in anti-money laundering (AML) and counter-financing of terrorism (CFT) frameworks, and will oversee regulatory obligations for our OTC crypto-to-cash...
Compliance Manager Growing Securities Firm in Hong Kong
CLIENT BACKGROUND My client is a dynamic new trading platform in Hong Kong. With their SFC Type 1 license secured, they are on an ambitious journey to expand our regulatory footprint and revolutionize the trading experience in the region.We are seeking a hands-on Compliance Manager to join our growing team. This is a Manager-In-Charge (MIC) role, r...
Compliance Monitoring Officer
Compliance Monitoring Manager - Capital MarketsOur client, one of America's largest banking groups, is looking to hire an experienced Compliance professional at a Manager level to mature specialist Compliance Monitoring programs across the firms Capital Markets business. The firm are one of the world's largest banking groups whose global presence c...