Regulatory Permanent Jobs | Search & Apply

• Hong Kong
• HK$600000 - HK$720000 per annum
• Posted about 16 hours ago

CLIENT BACKGROUND Our client is an International Corporate Bank. We are seeking an experienced AML & Compliance Manager to join our dynamic team in Hong Kong. The ideal candidate will have a strong background in compliance and anti-money laundering within the banking sector and a proven track rec...

• Hong Kong
• HK$600000 - HK$780000 per annum
• Posted 5 days ago

CLIENT BACKGROUND Our client is a leading Private Bank. We are seeking experienced KYC Talent to join the Onboarding 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 pol...

• Hong Kong
• HK$840000 - HK$900000 per annum
• Posted 6 days ago

CLIENT BACKGROUND Our client is a leading International Bank. We are seeking a Vice President for FICC Compliance to join our dynamic compliance team. This role is pivotal in ensuring adherence to regulatory requirements and internal policies. JOB RESPONSIBILITY Develop and implement comprehensiv...

• United States of America
• US$130000 - US$230000 per annum
• Posted 7 days ago

A privately owned renewable energy company, dedicated to providing innovative solutions that help customers reduce their carbon footprint and manage energy costs, is seeking a Director of Regulatory Affairs to join their legal team. This role will focus on managing the company's regulatory and le...

• Hong Kong
• HK$240000 - HK$360000 per annum
• Posted 8 days ago

CLIENT BACKGROUND We are looking for an enthusiastic FCC Specialist to join our Financial Crime Compliance (FCC) team. This role focuses on transaction monitoring, sanctions compliance, advisory services, and anti-bribery and corruption (AB&C) initiatives. We welcome applications from candidates ...

• Los Angeles
• US$170000 - US$290000 per annum
• Posted 13 days ago

A top Global Investment Management firm in Los Angeles is looking to hire a Senior Compliance Manager to handle the oversight of client services operations and onboarding for the firm's institutional clientele, and provide compliance support on investment offerings across multiple business lines,...

• Boston
• Negotiable
• Posted 15 days ago

Our Legal and Compliance team at Larson Maddox is supporting another search with one of our favorite clients in Boston as they continue to experience exciting growth. Sitting on the Global Internal Auditing team, the Global Internal Auditing Manager will support the auditing team in ensuring the ...

• Houston
• US$130000 - US$1700000 per annum
• Posted 16 days ago

Our Legal and Compliance team at Larson Maddox is supporting another search with one of our favorite energy clients in Houston as they continue to experience exciting growth. Sitting on the Energy Commodity Trading team, the Senior Trade Compliance Surveillance Advisor will support the monitoring...

• McLean
• US$100000 - US$150000 per annum
• Posted 16 days ago

We are currently partnered with a growing SEC Registered Investment Advisor/Broker Dealer seeking a motivated Deputy CCO to join their growing team. You'll be a key team member, reporting directly up to the CCO, responsible for ensuring the firm's goals and values are upheld. Director of Complian...

• Tampa
• US$130000 - US$150000 per annum
• Posted 16 days ago

We are currently working with a leading financial services firm seeking a Compliance Director, Investment Products to their growing compliance team. As a Compliance Director for Investment Products, you'll leverage your extensive expertise to design, implement, and manage a robust compliance prog...

• Santa Monica
• US$90000 - US$130000 per annum
• Posted 16 days ago

We are currently partnered with a Private Equity Firm looking to add a Compliance Associate to their growing team. Compliance Officer Role Responsibilities: Manage compliance calendar and regulatory reports (e.g., Section 13 filings, Form ADV, Form PF). Test and document compliance policies and p...

• Hong Kong
• HK$360000 - HK$420000 per annum
• Posted 17 days ago

CLIENT BACKGROUND Our client is a leading Private Bank. We are seeking experienced KYC Talent to join the Onboarding 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 pol...

• Hong Kong
• HK$240000 - HK$300000 per annum
• Posted 21 days ago

CLIENT BACKGROUND Our client is a leading bank in APAC, providing a wide range of products and services to institutional clients. We are seeking an experienced AML (Anti-Money Laundering) Associate with a focus on AML & sanctions compliance to join our team in Hong Kong. In this role, you will be...

• Miami County
• US$75000 - US$95000 per annum
• Posted 23 days ago

A Commercial Real Estate firm is hiring a full-time, experienced Compliance Officer to join thier team. This position will play a crucial role in managing the daily aspects of the company's compliance program. As a key member of the Compliance Department, the Compliance Officer will collaborate w...

• Chicago
• US$175000 - US$225000 per annum
• Posted 23 days ago

A rapidly growing Registered Investment Advisor is looking to bring on a new Chief Compliance Officer to their team. The ideal candidate will be someone who has 8+ years of experience working within a RIA, covering a variety of compliance matters and able to help build the framework at the firm. ...

• Park Ridge
• US$12000 - US$160000 per annum
• Posted 23 days ago

The Vice President, Director of Regulatory Compliance will oversee and manage the compliance function for a mid-size bank, ensuring that the organization adheres to federal, state, and local banking regulations. This role requires strong leadership skills, in-depth knowledge of financial regulati...

• New York
• US$175000 - US$200000 per annum
• Posted 26 days ago

Our client, one of America's largest banking groups, is looking to hire an experienced Compliance professional at a Senior Manager / Senior Vice President level to lead specialist Compliance Testing programs across the firms Broker Dealer business with an initial focus on Volcker Testing. The fir...

• Miami
• US$150000 - US$300000 per annum
• Posted 26 days ago

Chief Compliance Officer Responsibilities: Overseeing SEC registration for a new investment adviser focused on infrastructure, including filing Form ADV. Developing and implementing a compliance program with tailored policies and procedures. Fostering a strong culture of compliance across the fir...

• Stamford
• US$130000 - US$160000 per annum
• Posted 26 days ago

Our client, a small but elite, Hedge Fund (under $3bn AUM), employing a diverse macro trading strategy is looking to hire a Generalist Compliance Manager who will work with senior Investment and non-Investment stakeholders leaders across the firm, driving a compliance culture ensuring that the ef...

• North Carolina
• US$120000 - US$150000 per annum
• Posted 26 days ago

A leading global specialty metals and coatings manufacturer in the aerospace industry is looking for you to join the team as it's next Senior Compliance Officer! This is a brand new role as the firm is looking to increase it's compliance team. The ideal candidate has experience working within aer...