Regulatory Jobs & Careers - Larson Maddox

• Hong Kong
• Up to HK$600000 per annum
• Posted about 14 hours 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$420000 - HK$780000 per annum
• Posted 1 day ago

Key Responsibilities Handle SFC applications, regulatory reports/ filings and other licensing matters Conduct reviews on SFC-authorised funds sales and marketing materials Handle investment compliance and trade surveillance to SFC-authorised funds, private funds and other mandates Perform coordin...

• Maryland
• Negotiable
• Posted 2 days ago

An Innovative Clinical-stage Biotech company is looking to add a Senior Accounting Manager to their team in the D.C. / Baltimore Metro area. The company just opened a brand-new manufacturing facility this month with cutting-edge technology and are in the process of building out the accounting tea...

• California
• Negotiable
• Posted 2 days ago

A Mid-Sized Accounting Firm in Southwest LA is looking to add a Senior Tax Manager to the team. As a "Goldilocks" firm, the team prides themselves on having a tight-knit, small-firm environment, but still has access to resources, similar to a larger firm. The growing firm puts an emphasis on cult...

• Long Beach
• US$190000 - US$220000 per annum
• Posted 2 days ago

A Mid-Sized Accounting Firm near Long Beach, CA is looking to add an Assurance Senior Manager to the team. The growing firm is one of the largest CPA firms in LA and puts an emphasis on culture and employee retention. Reporting to the Assurance Partner, this role will act as a leader across the f...

• Washington
• US$200000 - US$240000 per annum
• Posted 7 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...

• Newark
• US$200000 - US$250000 per annum
• Posted 7 days ago

A large, public utilities and energy company is seeking a Director for their Tax team located in Newark, NJ. THis individual will be responsible for runnning a team dedicated to tax accounting, reporting, and forecasting for the business. Ideally a candidate will have some experience working in t...

• New York
• US$150000 - US$180000 per annum
• Posted 7 days ago

A large multi-strat fund is seeking a Control Room professional to join the team and report to the Head of Control Room in a role focused on MNPI, maintance of lists, and interacting with business leaders regarding conflicts. The opportunity will also involve interaction with a parent company and...

• Hong Kong
• HK$840000 - HK$960000 per annum
• Posted 9 days ago

CLIENT BACKGROUND Our client is a Regional Investment Bank. We are seeking a Compliance talent to join our dynamic compliance team.We are dedicated to providing our clients with innovative investment solutions while maintaining the highest standards of compliance and governance. As we continue to...

• Hong Kong
• HK$600000 - HK$780000 per annum
• Posted 9 days 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$600000 - HK$780000 per annum
• Posted 9 days 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...

• New York
• US$160000 - US$200000 per annum
• Posted 14 days ago

A $70b aum global investment firm located in Manhattan is looking to hire a VP Compliance Officer. This is a growth hire to support the expansion of their business and will be responsible for performing daily activities to promote the further enhancement of the firm's compliance program. Responsi...

• Maryland
• Negotiable
• Posted 20 days ago

An Innovative Clinical-stage Biotech company is looking to add a Senior Accounting Manager to their team in the D.C. / Baltimore Metro area. The company just opened a brand-new manufacturing facility this month with cutting-edge technology and are in the process of building out the accounting tea...

• New York
• US$150000 - US$180000 per annum
• Posted 23 days ago

A global, alternative asset manager is seeking a Trade Surveillance Officer to join their compliance team in NYC for a hybrid role leading their trade monitoring and market surveillance. This opportunity will report to senior leadership on the compliance team and will work directly with the trade...

• Washington
• US$115200 - US$140000 per annum
• Posted 23 days ago

An energy company in DC is looking to add to their Regulatory team. They are looking to bring someone on at a Managerial level who would contribute to the revenue regulatory efforts through their expertise in the utilites sector. *Hybrid work schedule-3 days in office/week* Qualifications 7-10 YO...

• New York
• US$100000 - US$120000 per annum
• Posted 28 days ago

A leading full-service financial services firm is looking to bring on a Surveillance Associate to the Compliance Team to provide regulatory support to the equity trading desk. This firm receives consistent global recognition for its wealth management arm and ESG investment strategy. Title: Survei...

• Long Beach
• US$190000 - US$220000 per annum
• Posted 29 days ago

A Mid-Sized Accounting Firm near Long Beach, CA is looking to add an Assurance Senior Manager to the team. The growing firm is one of the largest CPA firms in LA and puts an emphasis on culture and employee retention. Reporting to the Assurance Partner, this role will act as a leader across the f...

• Kansas City
• US$65000 - US$100000 per annum
• Posted 30 days ago

A long-standing and reputable wealth management firm is hiring on a Compliance Specialist to join their team in the Kansas City Metro. The ideal candidate will be someone that has expertise throughout the Investment Advisory space as a generalist, who is looking to continue to grow and develop th...