On Site Regulatory Jobs
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Senior Compliance Manager
Key Responsibilities:Build and scale a modern, comprehensive compliance program, including the integration of AI-enabled tools to drive efficiency and effectiveness.Serve as the compliance/legal representative in promotional and medical review processes (e.g., MLR), ensuring alignment with federal promotional standards and industry codes.Provide st...
Chief Compliance Officer, Prop Trading Firm
A growing proprietary trading and broker‑dealer group with a strong presence in electronic market making is seeking a Chief Compliance Officer for its Chicago office. The firm operates across multiple asset classes and relies heavily on advanced quantitative strategies and electronic trading systems. This role oversees the compliance program for a...
Chief Compliance Officer
A global financial institution with a longstanding U.S. presence is seeking a seasoned Compliance leader to oversee its New York-based branch and affiliated broker‑dealer. The firm operates across commercial banking, markets, and securities activities, and maintains a strong commitment to regulatory expectations in both the U.S. and its head‑office...
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Compliance Associate
A leading real estate investment advisory firm is seeking a Compliance Associate to support its SEC‑registered compliance program. This role is ideal for someone with 2-3 years of adviser‑side experience who thrives in a fast‑paced, detail‑driven environment.Key Responsibilities:Administer the firm's Code of Ethics, including personal trading revie...
Portfolio Compliance & Investment Guideline Associate
*5 DAYS ON-SITE*Our client, a long‑standing independent investment management firm is seeking a compliance professional to join a collaborative, high‑performing team. This position is suited for someone who thrives in a fast‑moving environment, can work autonomously, and is comfortable managing multiple priorities. Key ResponsibilitiesInterpret cli...
BSA/AML Officer
This role serves as the BSA/AML Officer for a financial institution expanding into high‑risk areas such as correspondent banking, international payments, and complex digital‑asset-adjacent customer profiles. The position leads the design, enhancement, and daily operation of the bank's BSA/AML program, ensuring full compliance with regulatory standa...