Explore Global Regulatory & Compliance Legal Jobs

Our client, a Registered Investment Advisor (RIA) group is experiencing rapid growth, and looking for a Compliance Associate to join the specialist compliance group as they scale responsibly. The firm are an individual client focused, RIA group dedicated to delivering personalized investment solutions and exceptional service. As they expand, they ...

Compliance Associate - Dallas (Onsite, 5 days/week)A leading global investment firm is seeking a Compliance Associate to join its growing team. This role offers the opportunity to work in a dynamic environment focused on private equity and credit strategies, supporting businesses across technology, industrials, and consumer sectors. The firm values...

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...

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...

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...