Permanent Regulatory Jobs
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Senior Fixed Income Compliance Advisor
Our client is a leading global quantitative investment manager with a strong track record across systematic fixed income, macro, and relative‑value strategies. As part of the firm's continued growth, they are seeking a Senior Fixed Income Compliance Advisor to provide front‑office advisory coverage to their fixed income and rates trading businesses...
Head of Core Compliance
A leading, well-established financial services firm is seeking a Head of Core Compliance to lead and evolve its firmwide regulatory compliance framework. This senior leader will play a critical role in ensuring regulatory obligations are met while fostering a strong, values-driven culture of compliance across the organization.This role offers the o...
Senior COE
We are a growing compliance consulting firm headquartered in Chicago, advising clients-particularly within the private equity and investment management space-on ethics, governance, and regulatory compliance. We are seeking a Senior Code of Ethics Specialist to lead complex ethics engagements and serve as a trusted advisor to senior leadership...
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VP, Compliance & Complaint Operations
Vice President, Compliance & Complaint OperationsLocation: Des Moines, Iowa - Hybrid ScheduleCompensation Range: $150,000-$175,000 base salary + bonusAbout the OrganizationThe organization is a major provider of retirement‑focused and investment‑related financial solutions, operating across multiple international markets. As part of a large global ...
VP, Compliance & Complaint Operations
Vice President, Compliance & Complaint OperationsLocation: Des Moines, Iowa - Hybrid ScheduleCompensation Range: $150,000-$175,000 base salary + bonusAbout the OrganizationThe organization is a major provider of retirement‑focused and investment‑related financial solutions, operating across multiple international markets. As part of a large global ...
Senior Compliance Manager
Key Responsibilities:Build and scale a modern, comprehensive compliance program, including the integration of AI-enabled tools to drive efficiency and effectiveness.Serve as the compliance/legal representative in promotional and medical review processes (e.g., MLR), ensuring alignment with federal promotional standards and industry codes.Provide st...