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...

• Singapore
• Negotiable
• Posted 4 days ago

Compliance Officer - European Broker My client is a global broker and we are recruiting for a Compliance Officer for the team in Singapore Responsibilities for the Compliance Officer - European Broker Advising the business on compliance matters such as filings, regulatory enquiries Handle escalat...

• Dallas
• Negotiable
• Posted 8 days ago

This leading agency is in search for a Regulatory Counsel to further expand and become a key player in its tight-knit legal team. Our client offers a collaborative environment where your expertise will drive compliance and regulatory success. Enjoy competitive compensation, comprehensive benefits...

• New York
• US$150000 - US$200000 per annum
• Posted 9 days ago

A leading investment platform offering private equity, credit, and insurance solutions is looking to bring on an Assistant Vice President of Compliance to their team. This firm manages over $20 billion in assets, and is committed to helping clients achieve financial goals while making a lasting i...

• 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...

• Beijing
• Negotiable
• Posted 15 days ago

The client is one of the top quantitative Hedgefund based in Beijing, looking to add in Internal Control and Audit Expert. Open for candidates from Banking, Tech, and Buyside. Open for candidates based in Shanghai. Job Responsibilities: 1. Develop risk assessment mechanisms, analyze various busin...

• 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...

• Washington
• US$200000 - US$230000 per annum
• Posted 17 days ago

A leading, full-service investment banking firm is looking for you to join the team as it's next Chief Compliance Officer! This is an incredibly exciting to join the team where you will lead the broker dealer side of the business. The ideal candidate has at least 10 years of experience working wi...

• 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...

• Chicago
• US$130000 - US$160000 per annum
• Posted 17 days 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...

• New York
• US$200000 - US$230000 per annum
• Posted 18 days ago

A leading investment firm specialized in secondary markets is seeking a Compliance Director to join their legal and compliance team. This exciting role offers the opportunity to work closely with the Chief Operating Officer, Legal Counsel, and Compliance Manager to build and deliver best-in-class...

• Santa Monica
• US$90000 - US$120000 per annum
• Posted 18 days ago

We are currently partnered with a leading Private Equity Firm seeking a detail-oriented Compliance Generalist to join their dynamic team. Compliance Officer Key Responsibilities: Conduct comprehensive reviews of marketing materials to ensure compliance with regulatory requirements and internal po...

• 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...

• 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...

• Hong Kong
• HK$660000 - HK$1080000 per annum
• Posted 26 days ago

CLIENT BACKGROUND Join a leading investment bank in Hong Kong, where we are committed to excellence in financial services. We are seeking a seasoned professional to join our team as the Senior Manager of Internal Audit. JOB RESPONSIBILITY Lead and manage the internal audit team, providing guidanc...