Regulatory Jobs in Financial Services
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Regulatory Reporting Controller
Finance Controller - Wall Street | Leading Fintech BrokerageLocation: Wall Street, NYC Industry: Fintech / Digital Brokerage Work Model: On-SiteSalary: $160-185,000/yrOur client is a rapidly growing digital brokerage platform that empowers individual investors through cutting-edge technology, low-fee trading, and robust market data. With operations...
Compliance Assistant Alternative Investment Firm
Responsibilities will include:Support daily ongoing compliance testing and monitoring and updating of calendar deadlines.Assist with compliance periodic testing such as political contributions, gifts and entertainment, research practices, and social media searches.Assisting in managing and administering the firm's Code of Ethics program, including ...
Trade Surveillance Compliance Associate
Job Title: Trade Surveillance Compliance AnalystLocation: Miami, FloridaEmployment Type: Full-TimeSalary: $80,000-110,000/yrAbout the Role:Our Client, a leading global investment management firm, is seeking a highly motivated and detail-oriented Trade Surveillance Compliance Analyst to join their Compliance team in Miami. This role is critical to e...
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Compliance Specialist
Our client is a leading financial sciences firm that leverages advanced data analysis, innovative thinking, and rigorous research to address complex challenges in investment management, private equity, and venture capital. The company's multidisciplinary team of experts develops creative solutions for some of the world's most intricate economic pro...
Deputy Chief Compliance Officer
A nationally recognized private equity real estate investment manager is seeking a Deputy Chief Compliance Officer to help lead and evolve its robust compliance program. With over $11 billion in assets under management, the firm specializes in core and value-add strategies across industrial, residential, retail, office, and specialty sectors.The Op...
Head of Privacy Compliance
Our client is a global leader in business and financial technology. Their Legal & Compliance department plays a critical role in ensuring operations meet regulatory standards and uphold the highest ethical principles.We are seeking a strategic and experienced Head of Privacy Compliance to lead the firms Americas privacy compliance program. This rol...