Regulatory Jobs in Financial Services
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Compliance Analyst
A premier alternative investment management firm located in DFW is looking to bring on a Compliance Associate to their growing team. With 170+ employees across the globe and $19B+ in AUM, this firm has diverse capital offerings including capital solutions, direct lending, derivatives and fund liquidity. The Compliance Associate will support the fir...
Marketing Compliance Officer
A leading private credit and investment management firm is seeking an experienced Marketing Compliance Officer to join its New York team. This role is critical in ensuring all marketing and communications adhere to regulatory standards while supporting the firm's growth and client engagement strategies. In addition, the firm is close to registering...
Chief Compliance Officer
The Chief Compliance Officer (CCO) is responsible for designing, managing, and improving the firm's compliance program across advisory and brokerage operations. This is a hands-on leadership role in a lean environment, requiring direct involvement in oversight, supervision, strategy, and issue resolution. The CCO sets clear standards, ensures adopt...
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Compliance Analyst
Compliance AnalystOur client, a tech‑driven financial services organization, is seeking a skilled and self‑motivated Compliance Analyst to serve as a key Subject Matter Expert (SME) on regulatory matters. This individual contributor role partners closely with internal teams, leads compliance discussions, and supports the development of policies, tr...
AML Compliance Officer
A private credit and investment management firm in New York City is seeking a senior AML/KYC leader to serve as the firm's AML Compliance Officer and oversee all aspects of financial crime compliance. This role is responsible for directing the client onboarding program, managing regulatory due diligence, and ensuring full adherence to AML, BSA, and...
FCC Manager Regional Corporate Bank
CLIENT BACKGROUNDOur client is a well-established regional corporate bank with a strong presence in Asia. The institution is committed to maintaining the highest standards of regulatory compliance and operational excellence. This role offers exposure to a dynamic environment and the opportunity to work closely with senior stakeholders across multip...