Regulatory Permanent Jobs | Search & Apply

• Chicago
• US$130000 - US$180000 per annum
• Posted about 11 hours ago

Job Title: Deputy Chief Compliance Officer (DCCO) Company: A fast growing full service investment bank is looking to bring on a Deputy Chief Complinace Officer to their team. In this position you'll have the ability for growth and development with direct exposure to senior leadership. This role s...

• Greenwich
• US$90000 - US$135000 per annum
• Posted about 18 hours ago

Our client, a global fintech is looking for a Tax AVP to assist in maintaining private equity and hedge fund procedures by collaborating with outside tax preparers and administrators. The main objective is to ensure prompt tax reporting and effective communication, while also striving for ongoing...

• Boston
• US$150000 - US$250000 per annum
• Posted about 19 hours ago

Our client is a rapidly expanding international FinTech, who is excited to be among the fastest-growing companies in the payments industry. The team collaborates to develop a world-class, all-in-one payments orchestration platform that offers our clients extensive capabilities, technologies, and ...

• New York
• US$200000 - US$350000 per annum
• Posted 3 days ago

A Business to Business (B2b) payments tool is hiring a Chief Compliance Officer in the New York City Office. Location: Hybrid in New York City The Chief Compliance Officer will be responsible for developing and supporting the implementation of a program to ensure compliance with all relevant lega...

• San Francisco
• US$100000 - US$120000 per annum
• Posted 3 days ago

A Hedge Fund is seeking a Compliance Professional with experience working for a registered investment adviser. This role will report to the General Counsel / Chief Compliance Officer (GC/CCO). Essential Duties and Responsibilities: Maintain and organize internal compliance books and records. Reta...

• Lawton
• Up to US$100000 per annum
• Posted 3 days ago

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

• Chicago
• Negotiable
• Posted 3 days ago

We have a current opportunity for a Compliance Officer on a permanent basis. The position will be based in Chicago. For further information about this position please apply. Assist with formal FINRA, CBOE, and ICE firm examinations Research and prepare memos on relevant SRO and Federal Securities...

• Boston
• US$170000 - US$190000 per annum
• Posted 3 days ago

Our client, a top Investment Management Firm located in Boston, is in search of a Senior Compliance Manager to add to their fast growing team. Responsibilities include supervising the development of the US compliance program, ensuring compliance with regulations, and collaborating with all staff....

• Boston
• US$170000 - US$190000 per annum
• Posted 3 days ago

Our client, a top Investment Management Firm located in Boston, is in search of a Senior Compliance Manager to add to their fast growing team. Responsibilities include supervising the development of the US compliance program, ensuring compliance with regulations, and collaborating with all staff....

• San Francisco
• US$75000 - US$80000 per annum
• Posted 3 days ago

We are partnering with a leading Expert Networking Firm to source for a motivated and ambitious Compliance & Legal Associate. The Associate will work alongside the manager to juggle multiple projects across both regional and global teams. This is great opportunity to showcase leadership qualities...

• New York
• US$100000 - US$115000 per annum
• Posted 3 days ago

Our Client: This growing financial institution has the a goal to give investors tactics for realizing China's significance as a crucial component of a well-planned investment portfolio. Their team manages about $8.7 billion in assets as of December 2023, aims to offer first-to-market, creative st...

• New York
• Negotiable
• Posted 4 days ago

We are partnering with a leading Expert Networking Firm to source for a motivated and ambitious Manager - Content Compliance. The manager will have 5 direct reports with the opportunity to shape the culture of the team. The ideal candidate should be comfortable interacting with internal & externa...

• Boston
• US$150000 - US$250000 per annum
• Posted 4 days ago

Our client is a rapidly expanding international FinTech, who is excited to be among the fastest-growing companies in the payments industry. The team collaborates to develop a world-class, all-in-one payments orchestration platform that offers our clients extensive capabilities, technologies, and ...

• New York
• US$110000 - US$150000 per annum
• Posted 4 days ago

Our Client, a leading broker dealer firm, is looking for a Compliance Officer to join their team. This firm provides traders with cutting-edge technology, offering lightning-fast direct access to equity markets through proprietary software and API connectivity. Their streamlined and efficient ope...

• New York
• US$110000 - US$150000 per annum
• Posted 4 days ago

Our Client, a leading broker dealer firm, is looking for a Compliance Officer to join their team. This firm provides traders with cutting-edge technology, offering lightning-fast direct access to equity markets through proprietary software and API connectivity. Their streamlined and efficient ope...

• New York
• US$100001 - US$130000 per annum
• Posted 4 days ago

A top hedge fund is in need of a Compliance Analyst to reinforce their legal and compliance team, ensuring strict adherence to regulatory standards across business activities. This role offers exposure to trading, operations, and software development units, with opportunities to tackle real-time ...

• Chicago
• Negotiable
• Posted 4 days ago

A rapidly expanding technology platform firm in the transportation sector, is looking for a Head of Finance to join their growing executive team. As the Head of Finance, you will play a crucial role in managing all aspects related to finance within this organization, driving growth and ensuring f...

• New Jersey
• US$100000 - US$160000 per annum
• Posted 8 days ago

A leading Investment Bank, situated in the New Jersey area, seeks a Tax Manager. This position involves overseeing tax return compliance and tax provision tasks for the company's US entities, with a focus on those requiring detailed data analysis. Additionally, you'll leverage your seasoned exper...

• New Jersey
• US$100000 - US$160000 per annum
• Posted 8 days ago

A leading Investment Bank, situated in the New Jersey area, seeks a Tax Manager. This position involves overseeing tax return compliance and tax provision tasks for the company's US entities, with a focus on those requiring detailed data analysis. Additionally, you'll leverage your seasoned exper...

• New York
• US$100001 - US$130000 per annum
• Posted 8 days ago

A top hedge fund is in need of a Compliance Analyst to reinforce their legal and compliance team, ensuring strict adherence to regulatory standards across business activities. This role offers exposure to trading, operations, and software development units, with opportunities to tackle real-time ...