Regulatory jobs

Found 61 jobs
    • Concord
    • US$80000 - US$95000 per annum
    • Posted about 12 hours ago

    We have a current opportunity for a Fund Compliance Specialist on a permanent basis. The position will be based in Concord, CA. For further information about this position please apply. Responsibilities: Assist in the development and execution of the compliance program for the Funds, collaboratin...

    • Irving
    • US$70000 - US$80000 per annum
    • Posted about 13 hours ago

    A long standing family owned bank is looking to add a Senior BSA Analyst to their BSA Compliance team! While reporting to the BSA/OFAC Officer, this role will be responsible for leading comprehensive aspects of the banks BSA/AML/OFAC programs while ensuring overall adherence to state and federal ...

    • New York
    • US$100000 - US$155000 per annum
    • Posted about 15 hours ago

    A dynamic Trading firm is on the lookout for a dedicated Compliance Associate based in the heart of NYC. As a member of their compliance team, you'll be instrumental in crafting, implementing, and enhancing the framework of policies and procedures to ensure the firm's full compliance with legal a...

    • Boston
    • US$150000 - US$250000 per annum
    • Posted about 20 hours ago

    Our client is a rapidly expanding international FinTech, who is excited to be among the fastest-growing companies in the payments industry. The team collaborates to develop a world-class, all-in-one payments orchestration platform that offers our clients extensive capabilities, technologies, and ...

    • Wichita
    • Negotiable
    • Posted 1 day ago

    A mid-sized Financial Services firm is looking to add a VP level BSA Officer to their growing team! In this position you will oversee a team of 8 direct reports while reporting directly to the Chief Risk Officer. This position is aimed to mature their BSA/AML program while also guiding the compan...

    • San Francisco
    • €100000 - €120000 per annum
    • Posted 1 day ago

    A Menlo Park Based Hedge Fund is seeking a Compliance Analyst with experience working for a registered investment adviser to join our compliance team. This role will report to the General Counsel / Chief Compliance Officer (GC/CCO). The Analyst will be responsible for: Develop and maintain an in-...

    • Charlotte
    • US$95000 - US$105000 per annum
    • Posted 1 day ago

    A leading hedge fund in the global credit investing space is looking to add you as it's next Fund Accountant! This is a super exciting time to join the team as it is expanding it's presence to the Southeast with a new office opening in Charlotte, NC. Operating on a hybrid basis, this role is thre...

    • Atlanta
    • US$100000 - US$115000 per annum
    • Posted 2 days ago

    We're are currently partnered with a leading international bank looking to add a Client Support Specialist to join their growing team. In this role, you'll collaborate with the Front Office Corporate and Product teams, assisting in pre-closing and closing phases of transactions, and ensuring the ...

    • Palm Beach Gardens
    • US$60000 - US$150000 per annum
    • Posted 2 days ago

    We are currently partnered with a leading hedge fund looking to add a Compliance Officer with who will report directly to the Chief Compliance Officer. The ideal candidate has marketing review, regulatory filing, and code of ethics experience. Compliance Officer Responsibilities: Implement and ma...

    • Charlotte
    • US$90000 - US$100000 per annum
    • Posted 2 days ago

    A leading hedge fund in the global credit investing space is looking to add you as it's next Fund Accountant! This is a super exciting time to join the team as it is expanding it's presence to the Southeast with a new office opening in Charlotte, NC. Operating on a hybrid basis, this role is thre...

    • Miami
    • US$70000 - US$85000 per annum
    • Posted 2 days ago

    A leading insurance provider is looking for you to join their team as it's next Reinsurance Accountant! This is a very exciting time to join the firm as the opportunity comes with growth opportunities. The Reinsurance Accountant will play a pivotal role within the cash accounting team, with a spe...

    • United States of America
    • US$70000 - US$90000 per annum
    • Posted 2 days ago

    Job Summary: Working under administrative direction, the Branch Examiner utilizes expertise gained through experience and specialized training in the securities industry to conduct onsite examinations of retail brokerage offices nationwide. These examinations entail reviewing various supervisory ...

    • Charlotte
    • US$100000 - US$150000 per annum
    • Posted 2 days ago

    Key Duties & Responsibilities Assisting in enforcing Code of Ethics, which involves monitoring personal trading accounts, issuing certifications, and managing conflicts-of-interest. Maintaining and updating compliance policies and procedures, ensuring they're current and effective. Assisting with...

    • Charlotte
    • US$100000 - US$130000 per annum
    • Posted 2 days ago

    A growing registered investment advisor is adding to their legal and compliance team and is looking for you to be the firms next Senior Compliance Associate! This is an incredibly exciting time to join the firm as they are opening their first office in the Southeast - offering an opportunity to b...

    • Charlotte
    • US$130000 - US$200000 per annum
    • Posted 2 days ago

    A growing registered investment advisor is adding to it's tax team and is looking for you to be the firms next Senior Tax Manager! This is an incredibly exciting time to join the firm as they are opening their first office in the Southeast - offering an opportunity to be a founding member of the ...

    • Columbus
    • Negotiable
    • Posted 6 days ago

    About The Role: A fast growing asset manager is looking to bring on a Senior Compliance Officer that reports directly into the Chief Compliance Officer. This position provides growth opportunity and will recieve direct exposure to senior leadership. Responsibilities: Aid in overseeing the Complia...

    • New York
    • US$100000 - US$115000 per annum
    • Posted 6 days ago

    Our Client: This growing financial institution has the a goal to give investors tactics for realizing China's significance as a crucial component of a well-planned investment portfolio. Their team manages about $8.7 billion in assets as of December 2023, aims to offer first-to-market, creative st...

    • Lawton
    • Negotiable
    • Posted 6 days ago

    A bank in Oklahoma is looking to add a BSA Compliance Officer to their team! While reporting to the CFO, you will be responsible for ensuring that requirements of regulatory laws, Bank Secrecy Act (BSA) and Community Reinvestment Act (CRA) are being integrated in the bank's policies and procedure...

    • New York
    • US$110000 - US$150000 per annum
    • Posted 7 days ago

    Our Client, a leading broker dealer firm, is looking for a Compliance Officer to join their team. This firm provides traders with cutting-edge technology, offering lightning-fast direct access to equity markets through proprietary software and API connectivity. Their streamlined and efficient ope...

    • New York
    • US$110000 - US$150000 per annum
    • Posted 7 days ago

    Our Client, a leading broker dealer firm, is looking for a Compliance Officer to join their team. This firm provides traders with cutting-edge technology, offering lightning-fast direct access to equity markets through proprietary software and API connectivity. Their streamlined and efficient ope...

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