Regulatory Permanent Jobs | Search & Apply

• Lawton
• US$90000 - US$110000 per annum
• Posted 1 day ago

A bank in Oklahoma is looking to add a Senior Compliance Officer to their team! While reporting to the COO, you will be responsible for ensuring that requirements of regulatory laws and Community Reinvestment Act (CRA) are being integrated in the bank's policies and procedures. This position will...

• Park Ridge
• US$120001 - US$175000 per annum
• Posted 1 day ago

A financial institution in the top 10% of banks across the country is looking to add a Senior CRA Compliance Officer to their team! While reporting directly to the COO, this position encompasses two key roles: overseeing Community Reinvestment Act (CRA) and Compliance functions. The role involves...

• Wichita
• US$75000 - US$100000 per annum
• Posted 1 day ago

A growing bank is looking to add a Fair Lending Officer to their team! While reporting to the CCO, this role is responsible for developing, implementing, and administering all aspects of the Bank's Fair Lending including various lending product lines. This role sits 5 days in office in Wichita, K...

• Dallas
• US$100000 - US$160000 per annum
• Posted 3 days ago

We are currently partnered with a SEC-registered investment adviser specializing in event-driven, long/short equity strategies based in Dallas, Texas looking to add a Compliance Director to their team. Compliance Director Role Responsibilities: Manage compliance calendar and regulatory reports (e...

• Charlotte
• US$140000 - US$160001 per annum
• Posted 3 days ago

We are currently partnered with a growing SEC Registered Investment Advisor seeking a motivated Director of Compliance with strong communication skills and a problem-solving mindset. You'll be a key team member, reporting directly up to the CCO/GC, responsible for ensuring the firm's goals and va...

• Tampa
• US$150000 - US$200000 per annum
• Posted 3 days ago

An electronic trading platform is looking to grow their team! The Compliance team is committed to maintaining the highest standards of regulatory compliance and ethical conduct. About This Role As a member of the Compliance team, the CCO will oversee all compliance aspects related to derivatives ...

• Norfolk
• US$115000 - US$145000 per annum
• Posted 3 days ago

We are currently partnered with a leading manufacturer in Norfolk, VA who is seeking a skilled accountant for the Deputy Controller role. This position supports financial operations, focusing on revenue tracking, internal controls, financial policy formulation, and ensuring fiscal health. Respons...

• Charlotte
• US$130000 - US$185000 per annum
• Posted 3 days ago

A growing hedge fund is adding to it's tax team and is looking for you to be the firms next Vice President, Tax - Hedge Fund! This is an incredibly exciting time to join the firm as they just opened their first office in the Southeast - offering an opportunity to be a founding member of the offic...

• Charlotte
• US$100000 - US$140000 per annum
• Posted 3 days ago

A growing registered investment advisor is adding to their legal and compliance team and is looking for you to be the firms next Compliance Specialist! This is an incredibly exciting time to join the firm as they are opening their first office in the Southeast - offering an opportunity to be a fo...

• Atlanta
• US$150000 - US$150001 per annum
• Posted 3 days ago

A registered investment advisor is looking for you to be it's next Compliance Senior Manager! This is an exciting time to join the firm as they have a CCO who covers the broker dealer side of the business, and are looking for someone to come in and lead the advisory side. If what is below matches...

• Tampa
• US$80000 - US$130000 per annum
• Posted 3 days ago

About This Team An electronic trading platform is looking to grow their team! The Compliance team is committed to maintaining the highest standards of regulatory compliance and ethical conduct. To further these goals, our Compliance team is looking for a new team member to lead our non-financial ...

• Hong Kong
• HK$480000 - HK$480001 per annum
• Posted 5 days ago

CLIENT BACKGROUND Our client is an International Bank. We are seeking an experienced CDD (Customer Due Diligence) Associate with a focus on Daily External Investigations, Know Your Customer (KYC), and Customer Due Diligence (CDD) activities to join our team in Hong Kong. In this role, you will be...

• Chicago
• US$200000 - US$250000 per annum
• Posted 8 days ago

A growing Biotechnology company is looking to add a Controller to their team! While reporting to the Chief Business Officer, this role will consist of overseeing general accounting, FP&A, Treasury, and Vendor Management Compliance functions. This role will sit as a flexible hybrid in Chicago, IL....

• Chicago
• US$200000 - US$250000 per annum
• Posted 8 days ago

A growing Biotechnology company is looking to add a Controller to their team! While reporting to the Chief Business Officer, this role will consist of overseeing general accounting, FP&A, Treasury, and Vendor Management Compliance functions. This role will sit as a flexible hybrid in Chicago, IL....

• Chicago
• US$80000 - US$120000 per annum
• Posted 10 days ago

Responsibilities: Assist in monitoring the activities of registered representatives and the firm. Track regulatory updates and recommend enhancements to business unit procedures and the company's compliance programs to the Chief Compliance Officer (CCO). Collaborate with all institutional and ins...

• New York
• US$120000 - US$180000 per annum
• Posted 10 days ago

Our client, a global, self-clearing Broker Dealer, is looking to hire a Senior Compliance Manager who will report into the firms CCO and General Counsel. The incumbent will among others, provide specialist Compliance advice and guidance to senior business leaders and key members of the firms Sale...

• New York
• US$175000 - US$200000 per annum
• Posted 12 days ago

A full-service engineering firm is looking to bring on a Controller to its New York City office. This individual will report directly into the CEO and ensure timely and accurate execution of all financial and accounting functions. As manager of the firm's accounting department, this leadership po...

• Hong Kong
• HK$720000 - HK$720001 per annum
• Posted 12 days ago

CLIENT BACKGROUND Our client is a leading Private Bank. We are seeking experienced CDD Talents to join the Compliance team. In this role, you will be responsible for conducting comprehensive due diligence on high-net-worth clients, ensuring compliance with all relevant regulations and internal po...

• New York
• US$175000 - US$200000 per annum
• Posted 18 days ago

A full-service engineering firm is looking to bring on a Controller to its New York City office. This individual will report directly into the CEO and ensure timely and accurate execution of all financial and accounting functions. As manager of the firm's accounting department, this leadership po...

• Hong Kong
• HK$600000 - HK$1080000 per annum
• Posted 18 days ago

CLIENT BACKGROUND Our client is an established Hedge Fund in the APAC Region. We are looking for a candidate for Legal or Compliance experience. JOB RESPONSIBILITY As a Compliance Manager, you will be responsible for overseeing all aspects of compliance for our hedge fund operations. This include...