Regulatory Jobs & Careers - Larson Maddox

Found 30 jobs
    • Skokie
    • Up to US$165000 per annum
    • Posted 3 days ago

    A financial institution in the top 10% of banks across the country is looking to add a 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 collaborat...

    • New York
    • US$175000 - US$200000 per annum
    • Posted 4 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 5 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...

    • Hong Kong
    • HK$500000 - HK$540000 per annum
    • Posted 9 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) Manager with a focus on sanctions compliance to join our team in Hong Kong. In this role, you will be responsi...

    • Tampa
    • US$150000 - US$200000 per annum
    • Posted 10 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 Chief Compliance Officer will oversee all compliance aspects re...

    • New York
    • US$135000 - US$150000 per annum
    • Posted 12 days ago

    A boutique, rapidly-growing broker-dealer firm who has previously outsourced its compliance program is looking to bring on an in-house Chief Compliance Officer. This seat with report directly into the CEO and work alongside the firm's FinOp to ensure compliance with FINRA/applicable regulations. ...

    • Tampa
    • US$85000 - US$130000 per annum
    • Posted 15 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. This role will be responsible for leading non-financial regulatory reporting. This position is ideal for a meticulous p...

    • McLean
    • US$80000 - US$90000 per annum
    • Posted 15 days ago

    **Must have an active FINRA Series 24 Certification and experience in an investment advisory space** We are currently partnered with a growing registered investment advisor and broker-dealer seeking a Compliance Supervision Associate to ensure regulatory adherence. In this role, you will be respo...

    • Dallas
    • US$100000 - US$160000 per annum
    • Posted 15 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...

    • Tampa
    • US$150000 - US$200000 per annum
    • Posted 15 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 ...

    • McLean
    • US$100000 - US$130000 per annum
    • Posted 15 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...

    • Hong Kong
    • Negotiable
    • Posted 16 days ago

    CLIENT BACKGROUND Our clients are the top-tier Asset Management Company in the APAC Region. Has a team and are looking for a candidate for Legal & Compliance experience. JOB RESPONSIBILITY Assist with drafting, reviewing and proofreading legal contracts, agreements, and other documents Conduct le...

    • Chicago
    • US$75000 - US$100000 per annum
    • Posted 16 days ago

    We have a current opportunity for a Senior Auditor - Global on a permanent basis. The position will be based in Chicago, IL. For further information about this position please apply. Position Overview: The Senior Global Finance Auditor is responsible for conducting financial and operational audit...

    • Hong Kong
    • HK$480000 - HK$840000 per annum
    • Posted 17 days ago

    CLIENT BACKGROUND Our client is a prestigious family office in the APAC Region. We are seeking an experienced immigration consultant to join our team. In this role, you will be responsible for managing all immigration-related matters for our high-net-worth clients and their families. JOB RESPONSI...

    • Atlanta
    • US$120000 - US$150000 per annum
    • Posted 17 days ago

    Overview A leading banking service provider is looking to add a Compliance Manager to their team. They are looking for an experienced compliance manager to ensure internal compliance policies are maintained and to efficiently support the regulatory requirements of our banking partners. The ideal ...

    • Atlanta
    • US$120000 - US$150000 per annum
    • Posted 17 days ago

    Overview: A leading banking service provider is looking to bring on an AVP, Client Coordinator. They are looking for an experienced Client Coordinator to enhance support for bank partners and their regulatory needs. This role involves acting as a key liaison between the company and its bank partn...

    • California
    • US$150000 - US$175000 per annum
    • Posted 17 days ago

    We are currently partnered with a one-of-a-kind startup company to find a Corporate Financial Controller. This role will operate on a hybrid schedule (3-4 days/week in office) based in the office located in the LA metro area. This leadership opportunity offers exposure to company investors and wi...

    • Hong Kong
    • HK$600000 - HK$1500000 per annum
    • Posted 18 days ago

    CLIENT BACKGROUND Our client is a leading financial services firm, providing a wide range of investment products and services to individual and institutional clients. We are seeking an experienced and strategic leader to serve as the Head of Anti-Money Laundering (AML) in Hong Kong. In this criti...

    • Greenwich
    • US$80000 - US$130000 per annum
    • Posted 19 days ago

    The Fund Finance Central Services team at a global fintech is looking for a Tax Associate or 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...

    • Greenville
    • US$65000 - US$80000 per annum
    • Posted 19 days ago

    A leading insurance company that focuses on specialty transportation operations is adding to it's compliance team and wants you as it's next Compliance Associate! This is an exciting opportunity to join the firms legal team as an you will assist in the development and implementation of insurance ...

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