Regulatory Jobs in Financial Services

Regulatory Reporting AssociateSalt Lake City, UT (Hybrid)$70,000-$85,000 Role OverviewThis role supports regulatory filing and reporting for a private‑markets investment platform operating as a registered investment adviser. The role focuses on coordinating filings and reporting obligations associated with private fund structures and advisory entit...

Senior Marketing Compliance (VP)Location: Mountain West-based (Utah); some in‑office presence required Compensation: $85,000-$110,000 base salaryOverviewThis role supports a growing organization by contributing to the development, review, and refinement of external‑facing marketing and communications materials. The position works closely with inter...

A leading wholesale bank is seeking a Director of Regulatory Initiatives to support the firm's response to regulatory remediation, supervisory feedback, and ongoing policy development impacting its wholesale and capital markets businesses.This role will sit at the intersection of regulatory change, remediation execution, and policy governance, acti...

Key ResponsibilitiesLead an internal control room framework governing access to sensitive information, internal boundaries, and activity limitations across business lines.Act as the primary contact for matters involving potential exposure to non‑public information, including internal escalations and risk assessments.Review, approve, and document te...

Key ResponsibilitiesAssist in maintaining and applying internal controls related to confidential information handling, internal boundaries, and activity restrictions.Support the control room in evaluating and escalating matters involving potential exposure to non‑public information.Coordinate and document approvals for temporary access to sensitive...