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...
Compliance Analyst Blockchain
Compliance Analyst - BlockchainLocation: ChicagoA financial services firm is seeking a Compliance Analyst - Blockchain to support its regulatory and monitoring functions, including work related to digital assets and other emerging areas. This role is ideal for someone who enjoys analytical work, evolving regulations, and a fast‑paced environment. R...
Vice President of Compliance
A global investment management firm is seeking a Vice President of Compliance to support its expanding platform of public investment vehicles and registered funds. This role is ideal for a seasoned compliance professional with deep experience in U.S. securities regulation and oversight of '40 Act products. This role will require 4 days a week in th...