Regulatory Jobs | Search & Apply Today

• New York
• Negotiable
• Posted 3 days ago

A hybrid-based, large financial services organization based in NYC has just opened up a position on a growing team seeking to hire a Equity Capital Markets Senior Compliance Manager. The firm is looking to further develop its Finance team with an experienced Compliance professional. This candidat...

• New York
• Negotiable
• Posted 5 days ago

A hybrid-based, Digital Asset Trading Platform in NYC has just opened up a position on a growing team seeking to hire a Senior Compliance Manager. The firm is looking to further develop its Regulatory team with an experienced Compliance professional. This candidate should have proficient skills a...

• Chicago
• Negotiable
• Posted 5 days ago

A prestigious insurance and financial corporation is looking for a Regulatory Counsel to join its legal team in Chicago. The position will focus on commercial insurance laws, policies, and regulations. In this role you will be offered exposure to working within a legal department at a Fortune 500...

• United States of America
• Negotiable
• Posted 6 days ago

A global digital asset management firm is looking to hire a Compliance Associate to their growing team. The Compliance Associate will support the company's Broker Dealer and Registered Investment Advisor with their specialization in advertising and marketing review. Requirements : -3+ years' expe...

• Ann Arbor
• Negotiable
• Posted 6 days ago

Ethics and Compliance Program Manager A highly successful and well-established electronic manufacturing company is currently looking to fill the role of an Ethics and Compliance Program Manager! The position is located at the company's secondary HQ in Ann Arbor, MI, and they're looking for a cand...

• United States of America
• Negotiable
• Posted 7 days ago

A registered investment advisory firm focused on credit investing is in need of a Legal & Compliance Associate. The Legal & Compliance Associate will be responsible for reviewing marketing materials, implementing and training compliance policies, trade monitoring, as well as performing back testi...

• New York
• Negotiable
• Posted 12 days ago

A hybrid-based, large financial services organization based in NYC has just opened up a position on a growing team seeking to hire a Regulatory Affairs Compliance Manager. The firm is looking to further develop its Finance team with an experienced Compliance professional. This candidate should ha...

• United States of America
• Negotiable
• Posted 13 days ago

A large retail banking company is looking to hire a Compliance Officer for their Deposit Compliance Team. The Compliance Officer shall provide support and advice to various lines of business within the company, assist with regulatory compliance exams, as well as mitigate the firm's exposure to ri...

• United States of America
• Negotiable
• Posted 17 days ago

An alternative investment firm with over $100+ B in AUM is looking to hire a Senior Finance Operations Associate to their growing team. The Senior Associate will gain overall understanding of credit business, assist with and implement control processes, and liase cross- functionally with other te...

• United States of America
• Negotiable
• Posted 17 days ago

A global digital asset management firm is looking to hire a Compliance Associate to their growing team. The Compliance Associate will support the company's Broker Dealer and Registered Investment Advisor with their specialization in advertising and marketing review. Requirements : -3+ years' expe...

• Chicago
• Negotiable
• Posted 17 days ago

A highly established financial institution based in Chicago, focusing on digital assets storage, is currently seeking a Regulatory Licensing, Response and Examination Manager to lead their Regulatory team in a remote position. Your primary role will be directing all state licenses for the company...

• Chicago
• Negotiable
• Posted 17 days ago

Deputy CCO - International A highly successful and well-established digital asset financial institution is currently looking to fill the role of the International Deputy Chief Compliance Officer! A successful candidate in this role will be hardworking, a strong communicator, able to thrive in a d...

• Chicago
• US$130000 - US$130001 per annum
• Posted 19 days ago

Paralegal (Funds Compliance) A leading investment firm based in Los Angeles is looking to grow their Chicago legal team! The firm focuses on special situation opportunities in growth and late-stage private companies. This is an excellent opportunity for one to grow their experience within the fin...

• Purchase
• Negotiable
• Posted 19 days ago

A leading global, market-leading financial services firm is searching for a Quality Assurance Associate to assist with all fund accounting activities across the business. This US-based firm has offices across the globe with headquarters in New York City. This individual will be responsible for le...

• San Antonio
• Negotiable
• Posted 19 days ago

A fortune 500 financial services firm is currently seeking a Financial Reporting Analyst to work with the regulatory team in a hybrid position in either San Antonio or Plano. Your primary role will be arranging and implementing regulatory reports and financial statements. ​ The Financial Reportin...

• Charlotte
• Negotiable
• Posted 19 days ago

Financial Reporting Analyst ​A highly successful and well-established financial services company is looking to hire a reliable self-starter and problem solver for their Financial Reporting Analyst position! The ideal candidate will have multiple years of experience working in the finance, account...

• New York
• Up to US$1 per annum
• Posted 20 days ago

A large, multinational bank is hiring a Senior Vice President, Risk Regulatory Affairs. Among additional responsibilities, this Senior Vice President, Risk Regulatory Affairs will ensure that the Risk team properly handles all regulatory matters through cultivating and maintaining strong relation...

• United States of America
• Negotiable
• Posted 20 days ago

A global investment management firm based in LA is looking to hire a Senior Compliance Associate to their growing team. The Senior Compliance Associate shall ensure adherence to laws and regulations and report directly to the Chief Compliance Officer. Preferred Qualifications : -5-8 years' Compli...

• Chicago
• Negotiable
• Posted 21 days ago

Title: Senior Compliance Associate Summary: A global, multi-billion dollar real estate investment firm is searching for a hardworking and highly motivated Compliance Associate to work diligently and closely with the top leaders in Compliance as well as other departments internally. You will play ...

• Chicago
• Negotiable
• Posted 21 days ago

​Summary: ​A highly successful and well established global asset management company is currently looking to fill the newly created role of a AML/KYC Officer! Located in Chicago, a successful candidate in this role will be a self starter, can think on the fly, and has extensive experience within t...