Regulatory Jobs | Search & Apply Today

• New York
• US$100000 - US$120000 per annum
• Posted 1 day ago

A rapidly expanding global investment bank is looking to hire an Operations & Compliance Associate to their tri-state area team. This is a remote position, although they are looking for someone with easy access to the Tri-State Area. They are looking for an entreprenurial spirit with great collab...

• United States of America
• Negotiable
• Posted 1 day ago

A top tier alternative investment management firm is looking for a Senior Compliance Associate to join their team. The Senior Compliance Associate will work to maintain the firms control room and information barriers, maintain restricted and watch lists, and assist with any trade and communicatio...

• United States of America
• US$120000 - US$160000 per annum
• Posted 1 day ago

An elite alternative investment management firm is looking for a Senior Compliance Associate to join their team in NYC. The Senior Compliance Associate will have many responsibilities such as administering Code of Ethics, assisting with various regulatory filings (ADV, PF), and reviewing advertis...

• United States of America
• US$120000 - US$170000 per annum
• Posted 1 day ago

A top tier financial services firm is looking to add a Compliance Officer to their team. The ideal candidate is innovative, analytical, and solution oriented. The Compliance Officer will develop and perform surveillance reviews, drive compliance initiatives, and work with the rest of the team to ...

• Tampa
• US$140000 - US$170000 per annum
• Posted 1 day ago

Larson Maddox is partnered with a generation and transmission utility company who is looking for a NERC Manager with knowledge of O&P (693) and CIP standards to join their NERC Compliance Team. Key Responsibilities: Compliance Oversight: Spearhead the development, implementation, and monitoring o...

• Houston
• US$120000 - US$160000 per annum
• Posted 1 day ago

A Global Energy Company producing oil, biofuels, renewables, green and natural gases, and electricity is looking for a Sr. Market Compliance Analyst to join their trading branch. This position operates under the supervision of the Market Compliance Director and performs in a fast-moving trading e...

• New York
• US$150000 - US$190000 per annum
• Posted 1 day ago

Larson Maddox is partnered with a global investment bank who is looking for a VP to join their Change Management Team. You will work with multiple divisions within the company in order to manage the Regulatory Change Management Team issues. This position is a VP level role that reports to the Dir...

• Hong Kong
• Negotiable
• Posted 1 day ago

Job Requirements Handle anti-money laundering and Anti-bribery & corruption matters Manage end-to-end investigation processes Work with internal and external stakeholders on management of compliance programs Handle hotline for whistleblowing Provide internal compliance training to global complian...

• England
• Negotiable
• Posted 1 day ago

Compliance Manager, Investment Management Firm My client is a leading asset management firm, and we are recruiting a Compliance person to be based in the Singapore office. You will be given the opportunity to support the business on a wide variety of regulatory compliance matters in the region an...

• Singapore
• Negotiable
• Posted 1 day ago

VP/SVP Compliance, Wealth Management Firm My client is a leading and growing wealth management and corporate fiduciary services firm and we are recruiting for a VP/SVP Compliance to be based in the Singapore office. You will be given the opportunity to support the business on all Compliance-relat...

• Negotiable
• Posted 2 days ago

A well recognized wealth management firm is looking to add a talented Sr. Branch Office Manager. In this position you will be responsible for administering Branch Exams to Financial Advisors and monitor compliance of applicable regulations. This is a remote role that includes travel 25% of the ti...

• New York
• US$100000 - US$130000 per annum + 25% + 401K match
• Posted 2 days ago

What We Offer: Competitive total compensation. Comprehensive benefits package, including fully covered health insurance, generous 401K match, tuition reimbursement program, parental leave, and more. Hybrid work schedule with in-office presence on Tuesdays, Wednesdays, and Thursdays each week. Mea...

• Los Angeles
• US$180000 - US$300000 per annum
• Posted 2 days ago

Key Responsibilities: Compliance Oversight: Collaborate with the current GC/CCO in implementing and managing a compliance program to ensure adherence to applicable laws, regulations, and internal policies. Policy Development: Contribute to the development, implementation, and maintenance of compl...

• Chicago
• Negotiable
• Posted 2 days ago

A Chicago based international Capital Markets firm is looking to add a Crypto Fund Accountant to their growing operations team! In this role, you will be immersed in the crypto and blockchain space. The ideal candidate is someone that enjoys being self-directed, detail oriented, and a personable ...

• Hong Kong
• Negotiable
• Posted 3 days ago

Job Requirements Prepare regulatory filings Assist in designing and reviewing compliance monitoring reports Help maintain and ensure standards, policies and regulations are up to date Provide support in long-term compliance projects Qualifications Bachelor's degree in Law, Finance or related disc...

• New York
• US$70000 - US$80000 per annum
• Posted 3 days ago

An award-winning FinTech working with over 500 RIAs is hiring a Wealth Management Associate. This individual will serve as a first point-of-contact for clients using the firm's cash management technology to achieve their financial goals. This individual will partner closely with the product and e...

• France
• Negotiable
• Posted 3 days ago

A large international Biotechnology company is looking for a EU Head of Commercial Compliance. The EU Head of Commercial Compliance will be responsible for the development, implementation and maintenance of the commercial compliance program. This role is remote. Responsibilities : Responsible for...

• Australia
• Negotiable
• Posted 4 days ago

Job Requirements Develop, implement and maintain policies and procedures to ensure compliance with statutory and regulatory requirements Provide compliance advisory and training to internal stakeholders to promote and enhance company compliance culture Develop, implement and maintain compliance p...

• Australia
• Negotiable
• Posted 4 days ago

Job Requirements Develop, implement and maintain policies and procedures to ensure compliance with statutory and regulatory requirements Provide compliance advisory and training to internal stakeholders to promote and enhance company compliance culture Develop, implement and maintain compliance p...

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

Our Client One of the largest Chinese asset management firm is looking to add an investment compliance individual with Bloomberg AIMS (CMGR) experience Job Responsibility Perform pre-trade and post-trade compliance check on investments / fund portfolios via the use of Bloomberg AIM; Approve / rej...