Regulatory Jobs & Careers - Larson Maddox

• Chicago
• US$140000 - US$170000 per annum
• Posted about 2 hours ago

Are you ready to take the next step in your compliance career? Our client, a boutique compliance consulting firm, is searching for a seasoned Senior Compliance Associate who possesses an analytical mind and strong regulatory knowledge within the financial services sector. This is an incredible op...

• Tampa
• US$150000 - US$180000 per annum
• Posted about 2 hours ago

A leading financial services firm is looking for you to join it's team as their next Compliance VP, Investment Products! This is an exciting time to join the business and own the compliance investment products program while being located in beautiful Tampa, FL. If you are looking to advance in yo...

• Charlotte
• US$170000 - US$200000 per annum
• Posted about 3 hours ago

Are you ready to take charge of compliance within a dynamic institutional broker dealer environment? We're seeking an experienced Chief Compliance Officer - Broker Dealer who will ensure that our operations adhere strictly to financial regulations and ethical standards. This pivotal role is based...

• District of Columbia
• US$85000 - US$95000 per annum
• Posted about 3 hours ago

We are currently partnered with a growing Register Investment Advisor/Broker Dealer looking to add to their compliance team. The Compliance Principal will support compliance operations and provide analytic support within a financial institution. Compliance Principal Essential Responsibilities: Ma...

• New York
• US$85000 - US$90000 per annum
• Posted about 3 hours ago

A unique Fintech Startup is looking to add a Compliance Analyst to their growing team. This position will be in charge of performing compliance reviews, attend external compliance conferences, and complete AML filings to ensure an efficient and effective compliance program. Reporting directly to ...

• Hong Kong
• Negotiable
• Posted about 15 hours ago

Company Overview: Our client is a leading multi-strategy hedge fund with a strong global presence, renowned for diversified investment approaches and commitment to excellence. Currently, client is looking for Legal Counsel with expertise in Regulatory or Funds Formation to join the dynamic team. ...

• Kansas City
• Negotiable
• Posted 1 day ago

An established investment management firm with over $30 billion in assets under management is seeking a talented and detail-oriented Compliance Officer for its Kansas City office. The firm specializes in structured credit, corporate credit, and other credit mandates, serving a diverse client base...

• Hong Kong
• Negotiable
• Posted 2 days ago

CLIENT BACKGROUND We are looking for an experienced and knowledgeable Head of Compliance to join our team. The successful candidate will have extensive experience in investment banking division (IBD) and ideally market compliance experience, to work in the regional team and work closely with the ...

• Missouri River Township
• US$85000 - US$125000 per annum
• Posted 2 days ago

Job Advertisement: Financial Reporting Lead Location: St. Louis, Missouri Company: Leading Life & Health Insurance Company Position Overview: Are you a detail-oriented financial professional with a passion for driving accurate financial reporting and analysis? Our reputable Life and Health Insura...

• Geneva
• Negotiable
• Posted 2 days ago

We are looking for a Swiss qualified counsel with 4 to 6 years of post-qualified experience to oversee Swiss listing rules and act as the company secretary for a Private Equity shop in Switzerland. This is a remote position. Key Responsibilities: Regulatory Compliance: Ensure compliance with Swis...

• Kowloon
• Negotiable
• Posted 3 days ago

Company Overview: A major financial institution in Hong Kong is seeking a skilled Compliance professional for SFC's Type 1, 4, and 9 licenses. The successful candidate will play a pivotal role in overseeing compliance matters and ensuring adherence to regulatory requirements. Key Responsibilities...

• Hong Kong
• Negotiable
• Posted 3 days ago

A leading global alternative asset management firm with over $100 billion in assets under management and teams operating worldwide. Our client invests across a diverse range of strategies, including private equity, impact, credit, real estate, and market solutions. Principal Responsibilities Supp...

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

Corporate Governance Specialist A Growing Private Investment Firm is looking for a Corporate Governance Specialist based in Stamford, CT. The opportunity is looking for an individual with experience in AML/KYC to work with the legal team on a broad range of matters relating to company processes, ...

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

A major global bank is looking to expand its US Regulatory Policy team in New York, and add a VP of Regulatory Policy who will be focusing on the oversight and implementation of Capital rules and regulations. The Vice President of Regulatory Policy will: Lead the development and execution of the ...

• Singapore
• Negotiable
• Posted 4 days ago

My client is a fast-growing, innovative payments company dedicated to simplifying and securing global financial transactions. They're on a mission to redefine the payments landscape through cutting-edge technology and exceptional service. Role Overview: They are seeking an experienced and forward...

• Negotiable
• Posted 5 days ago

CLIENT BACKGROUND We are looking for an experienced and knowledgeable IBD/Control Room Compliance Specialist to join our team. The successful candidate will have extensive experience in investment banking division (IBD) product knowledge or control room operations, to work in the regional team an...

• Missouri
• Negotiable
• Posted 8 days ago

The Regulatory Compliance Analyst at major energy infrastructure will support the implementation and management of FERC Standards of Conduct and State Public Utility Commission Code of Conduct programs. The role involves ensuring compliance with federal and state regulations, assisting with audit...

• New York
• Negotiable
• Posted 8 days ago

A prominent firm in the investment banking and capital markets sector is looking for a Compliance Associate to join the team. This position will perform monitoring and testing responsibilities across the firm, gaining exposure to a variety of business lines. As part of this critical function, you...

• Taiwan
• Negotiable
• Posted 9 days ago

Enterprise Risk Manager Opportunity in Taiwan's Manufacturing Sector About the Company: Join one of Taiwan's leading manufacturing companies, renowned for its innovation and commitment to excellence. Our organization is dedicated to maintaining high standards and fostering a dynamic work environm...

• New York
• US$175000 - US$215000 per annum
• Posted 9 days ago

VP - Investment Banking Compliance Advice Our client, one of Europe's largest banking groups, is looking to hire an experienced Compliance professional at a Senior Manager / senior Vice President level to provide specialist Compliance advice and guidance to senior leaders and key members of the f...