Regulatory jobs

• Hong Kong
• HK$600000 - HK$840000 per annum
• Posted 1 day ago

CLIENT BACKGROUND Join a leading investment bank in Hong Kong, where we are committed to excellence in financial services. Our dynamic team is dedicated to ensuring compliance and operational integrity while supporting our clients' diverse needs. JOB RESPONSIBILITY Monitor and manage communicatio...

• Hong Kong
• HK$600000 - HK$780000 per annum
• Posted 1 day ago

CLIENT BACKGROUND Our client is a leading Private Bank. We are seeking experienced KYC Talent to join the Onboarding team. In this role, you will be responsible for conducting comprehensive due diligence on high-net-worth clients, ensuring compliance with all relevant regulations and internal pol...

• Hong Kong
• HK$1080000 - HK$1440000 per annum
• Posted 1 day ago

CLIENT BACKGROUND We are seeking an experienced Compliance Director to join our compliance team. This pivotal role will be responsible for developing, implementing, and overseeing compliance programs to ensure our operations are in line with regulatory requirements and internal policies. JOB RESP...

• Hong Kong
• HK$600000 - HK$780000 per annum
• Posted 1 day ago

We are seeking a dedicated and detail-oriented Equities Compliance Specialist to join our team. The ideal candidate will have a strong background in equities compliance, monitoring, testing, or trade surveillance. This role is crucial in ensuring our operations adhere to regulatory standards and ...

• Raleigh
• US$80000 - US$100000 per annum
• Posted 2 days ago

Compliance Specialist - Life Insurance Firm (Hybrid) Location: Greater Raleigh (Hybrid Work Model) Salary: $85,000 - $100,000 Base + Bonus Potential A rapidly growing life & annuities firm is seeking a Compliance Specialist to support its growing regulatory needs and ensure they maintain the high...

• Los Angeles
• US$115000 - US$140000 per annum
• Posted 4 days ago

Our client, a growing health network, is seeking a Compliance & Privacy Officer. This role would report to the CEO and work alongside the Board of Directors. This role would focus on the company's RKK health plan & focus on medi-cal membership. Responsibilities: Development and Oversight: Respons...

• District of Columbia
• US$85000 - US$95000 per annum
• Posted 15 days 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...

• Hong Kong
• HK$420000 - HK$840000 per annum
• Posted 17 days ago

Are you ready to take the next step in your compliance career within the bustling financial sector of Hong Kong? A prestigious firm is seeking a dedicated Equities Compliance professional, offering an opportunity to work at the heart of global finance and regulation. The role involves crucial res...

• Atlanta
• US$90000 - US$120000 per annum
• Posted 17 days ago

A global leader in the packaging space is growing it's audit team and is looking for you to join as it's next Senior IT Auditor! This is a super exciting opportunity and time to join the team as there is a clear path for this role to grow into a management seat. Located in Atlanta, GA this role w...

• Tampa
• US$150000 - US$180000 per annum
• Posted 17 days ago

A leading financial services firm is looking for you to join the team as it's next Vice President, Non-Financial Regulatory Reporting! This is an exciting time to join the business and own the non-financial regulatory reporting program while being located in beautiful Tampa, FL. If you are lookin...

• New Orleans
• US$80000 - US$106000 per annum
• Posted 18 days ago

We are currently working with a leading regional bank looking to add a Compliance Advisor to their growing team. The Compliance Advisor will assist in overseeing various regulatory compliance programs, including consumer deposit regulations and privacy laws. This role serves as a compliance resou...

• Atlanta
• US$100000 - US$125000 per annum
• Posted 18 days ago

We are currently partnered with a leading manufacturing firm looking to add a Senior Auditor to their growing team. The Senior Auditor will lead internal audit projects, including financial, enterprise, and technology audits, Sarbanes-Oxley testing, and support for external audit procedures. This...

• McLean
• US$85000 - US$95000 per annum
• Posted 18 days ago

The Compliance Principal will leverage their experience in compliance, technology, or operations within a financial institution to support compliance operations and provide analytical oversight across the firm. Compliance Principal Key Responsibilities: Manage compliance systems, reports, manuals...

• Atlanta
• US$75000 - US$85000 per annum
• Posted 18 days ago

We are currently working with a leading insurance firm seeking a Compliance Analyst to support its regulatory compliance programs. This role involves handling regulatory filings, managing compliance training, and conducting regulatory research while serving as a compliance resource across various...

• Singapore
• Negotiable
• Posted 19 days ago

Compliance Surveillance - Commodity My client is a leading and growing Commodity Firm and we are recruiting for a Compliance professional to be based in the Singapore office. Responsibilities for this Compliance Surveillance - Commodity role Advise internal stakeholders on a daily basis and foste...

• Hong Kong
• Negotiable
• Posted 30 days ago

CLIENT BACKGROUND We are seeking an experienced Compliance Director to join our compliance team. This pivotal role will be responsible for developing, implementing, and overseeing compliance programs to ensure our operations are in line with regulatory requirements and internal policies. JOB RESP...

• Hong Kong
• HK$600000 - HK$720000 per annum
• Posted about 1 month ago

CLIENT BACKGROUND Our client is a Regional Investment Bank. We are seeking a Vice President of Equities Compliance to oversee our compliance program related to cash equities and derivatives. The ideal candidate will have at least 5 years of experience in compliance within the financial services s...