Job Search - Regulatory and Legal Jobs

• New York
• US$110000 - US$115000 per annum
• Posted about 1 hour ago

We are looking for a highly experienced and motivated Word Processing Lead Operator who is located in New York City. The ideal candidate will possess a thorough understanding of word processing principles and operations, as well as strong leadership and communication skills. This candidate must h...

• United States of America
• US$160000 - US$160001 per annum
• Posted about 1 hour ago

A top Insurance company has a current opportunity for an Assistant General Counsel focusing heaviliy on Securities and Investment Funds. For further information about this position please apply. Responsibilities Advising the Company's leaders and investment professionals on Company initiatives in...

• New York
• US$95000 - US$100000 per annum
• Posted about 1 hour ago

Title: Legal Word Processing Specialist Company Summary: A New York-based law firm looking to hire a professional Word Processor who excels in their field. Can you visualize yourself joining a highly reputable practice while working fully remote? Requirements: Must be based in the state of New Yo...

• Florida
• Negotiable
• Posted about 2 hours ago

The Company: One of the largest commercial insurance companies in the US is looking to add an experienced litigation attorney to their legal team. The company offers a fantastic opportunity for internal growth, great work-life balance via a hybrid schedule, and very competitive compensation packa...

• United States of America
• US$210000 - US$280000 per annum
• Posted about 4 hours ago

Dir. Counsel - Leveraged Finance (NYC, Hybrid) Reporting directly into the General Cousnel this Director level Counsel will be tasked with advising and counseling lending teams with a particular focus on aquisition finance and all realted legal matters thereto. Given the global nature of the firm...

• England
• Negotiable
• Posted about 4 hours ago

We are partnering with an Entrepreneurial Family Owned Company in South Carolina that is seeking an Associate Counsel to join their Legal team. You would report to the General Counsel and be part of a small Legal team responsible for IP, contracts (mainly manufacturing and distribution), and othe...

• Greenwich
• US$100000 - US$130000 per annum
• Posted about 8 hours ago

Title: AVP, Broker-Dealer Compliance Salary: $100,000/yr-$130,000/yr Summary: A FinTech in Greenwich, CT, is seeking an Assistant Vice President to join the Compliance team. The AVP will work closely with senior Compliance and Legal team members with a focus on broker-dealer regulatory compliance...

• Hong Kong
• Negotiable
• Posted 3 days ago

Key Responsibilities Handle SFC applications, regulatory reports/ filings and other licensing matters Conduct reviews on SFC-authorised funds sales and marketing materials Handle investment compliance and trade surveillance to SFC-authorised funds, private funds and other mandates Perform coordin...

• United States of America
• Negotiable
• Posted 3 days ago

One of the largest renewable energy companies on the globe is looking to add an Assistant General Counsel with extensive project finance experience to their dynamic legal team. The Assistant General Counsel will work closely with the Head of M&A/Finance Law and provide support to the company's ut...

• £960000 - £960001 per annum
• Posted 4 days ago

We are looking for a strategic and results-driven professional to join our team as the VP of KYC. The successful candidate will be responsible for overseeing the bank's KYC processes and ensuring compliance with local and international regulatory requirements. This is a key leadership role that w...

• Miami
• Negotiable
• Posted 4 days ago

A Florida-based pharmaceutical company is seeking a Senior Financial Reporter to join their team. They will be responsible for supporting the financial reporting function, ensuring compliance with financial regulations, and providing timely and accurate financial information to internal and exter...

• Hong Kong
• Negotiable
• Posted 4 days ago

Key Responsibilities Investigate alerts generated for transaction monitoring and screening Support in implementation of AML/CFT Regtech projects Liaise with internal stakeholders and provide compliance advice on relevant AML/CFT matters Support with AML risk assessments and maintain ongoing monit...

• Rochester
• Negotiable
• Posted 5 days ago

An investment management firm in the Detroit area in looking to add a Compliance Officer to the team. Responsibilities Administer and oversee compliance functions and policies for the RIA observing the Investment Advisors Act of 1940, including daily operations of the compliance program, such as ...

• United States of America
• Negotiable
• Posted 5 days ago

A global, leading renewable energy company is seeking a motivated, creative, results oriented Senior Counsel to join their innovative legal team. The Senior Counsel will support and advise the established business development team on originations and acquisitions and will assist in the rapid grow...

• New York
• US$100000 - US$130000 per annum
• Posted 6 days ago

What is Offered: Competitive total compensation Benefits package - fully covered health insurance, generous 401K match, tuition reimbursement program, parental leave Hybrid work schedule - Tuesday-Thursday in the office each week Work that matters - work with a small team and have a big impact Fl...

• Chicago
• Negotiable
• Posted 6 days ago

A prestigious Investment Management firm is looking for a Senior Compliance Officer to join its team in Chicago. A successful candidate for this role will have experience in the financial services industry and/or regulatory compliance. This role will report into the Risk Officer and have regular ...

• Hong Kong
• Negotiable
• Posted 7 days ago

Our client is a leading manufacturing company with a global presence and a strong track record of delivering high-quality products to our customers. Our operations are expanding rapidly, and we are seeking a highly experienced Head of Company Secretary to join our dynamic team in Hong Kong. Role ...

• Chicago
• Negotiable
• Posted 7 days ago

One of Chicago's top Real Estate Capital is looking for a Legal Counsel - focusing on Energy & Infrastructure. The position will be based in Chicago. For further information about this position please apply! Responsibilites: Focus on the development, financing, acquisition, disposition and restru...

• Jersey City
• US$110000 - US$190000 per annum + discretionary bonus + 401K match
• Posted 7 days ago

What will you do?: With minimal supervision lead and handle the receipt, response, and follow-up for regulatory inquiries and exam related to the FCM, Swap Dealer, SBSD, and IT & Operational Risk Management Topic; Field verbal and written inquiries from various regulatory agencies, including inve...

• Greenwich
• US$100000 - US$140000 per annum
• Posted 7 days ago

Qualifications 4-8 years of relevant compliance experience with a broker-dealer Passed the Series 24 General Securities Principal exam or willing to complete it soon after hire Strong knowledge of the Securities Exchange Act of 1934, as amended, SEC broker-dealer regulations and FINRA regulations...