Regulatory Jobs & Careers - Larson Maddox

• Akron
• US$85000 - US$95000 per annum
• Posted about 3 hours ago

A well established Utilities company is looking to add on a Ethics and Compliance specialist to their Ethics and Compliance investigation team. This position will engage with different departments to foster trust, mitigate risks, uphold ethical business practices, develop policies and procedures,...

• Lawton
• Up to US$100000 per annum
• Posted about 6 hours ago

A bank in Oklahoma is looking to add a BSA Compliance Officer to their team! While reporting to the CFO, you will be responsible for ensuring that requirements of regulatory laws, Bank Secrecy Act (BSA) and Community Reinvestment Act (CRA) are being integrated in the bank's policies and procedure...

• New York
• US$65000 - US$90000 per annum
• Posted about 7 hours ago

Our client is a top investment managment firm with over $20 billion in assets, over 1,500 employes across their global offices, and diversified asset management. Their team works as a unit, valuing every employee's value and they have created a strong company culture. We have partnered with this ...

• Kansas City
• Negotiable
• Posted about 21 hours ago

A lead Financial Services company based in Kansas City, MO is seeking a highly skilled and experienced Director of Compliance to oversee and manage the firm's compliance functions. The ideal candidate will be well-versed in Risk Assessments, Compliance testing, and have strong leadership experien...

• New York
• US$200000 - US$300000 per annum
• Posted 1 day ago

THE ROLE: Expertise in CFTC Swap Dealer and SEC Security-Based Swap Dealer rules. Leading a global team that oversees regulatory requirements and control frameworks. Has experience providing advisory guidance for complex regulations, conducting risk assessments, testing and regulatory implementat...

• New York
• US$11000 - US$160000 per annum
• Posted 1 day ago

JOB TITLE - Control Room Compliance Officer STRUCTURE - Hybrid JOB SUMMARY: Include, but are not limited to: Provide Firm Compliance policy guidance with respect to Information Barriers and Investment Banking Conflicts of Interest. Conduct training on the Firm's policies and procedures relating t...

• Jersey City
• US$140000 - US$160000 per annum
• Posted 1 day ago

JOB TITLE - Regulatory Relations Associate Director HIRING FIRM - An American post-trade financial services company providing clearing and settlement services to the financial markets LOCATION - Jersey City OR Boston REPONSIBLITIES: Assist in processing regulatory requests for information by gath...

• San Francisco
• US$90000 - US$130000 per annum
• Posted 1 day ago

A Hedge Fund is seeking a Legal/Compliance Analyst with experience working for a registered investment adviser. This role will report to the General Counsel / Chief Compliance Officer (GC/CCO). Essential Duties and Responsibilities: Maintain and organize internal compliance books and records. Ret...

• New York
• US$200000 - US$350000 per annum
• Posted 1 day ago

A Business to Business (B2B) payments tool is hiring a Chief Compliance Officer in the New York City Office. Location: Hybrid in New York City The Chief Compliance Officer will be responsible for developing and supporting the implementation of a program to ensure compliance with all relevant lega...

• New York
• US$200000 - US$250000 per annum
• Posted 3 days ago

Director of AML - Broker Dealer Our client, a global Banking groups, is looking to hire an experienced AML professional at a Director level to provide specialist AML advice and guidance to senior leaders and key members of the firms substantial Capital Markets and Broker Dealer business arms. The...

• Austin
• US$100000 - US$130000 per annum
• Posted 3 days ago

A long standing community bank is looking to add a Compliance Officer to their team! In this role, you will be ensuring compliance with State and Federal consumer protection regulations. This role reports to the SVP of Compliance and sits 5 days in office in Austin, Texas. Responsibilities: Assis...

• Chicago
• US$130000 - US$180000 per annum
• Posted 7 days ago

Job Title: Deputy Chief Compliance Officer (DCCO) Company: A fast growing full service investment bank is looking to bring on a Deputy Chief Complinace Officer to their team. In this position you'll have the ability for growth and development with direct exposure to senior leadership. This role s...

• Greenwich
• US$90000 - US$135000 per annum
• Posted 7 days ago

Our client, a global fintech is looking for a Tax AVP to assist in maintaining private equity and hedge fund procedures by collaborating with outside tax preparers and administrators. The main objective is to ensure prompt tax reporting and effective communication, while also striving for ongoing...

• Boston
• US$150000 - US$250000 per annum
• Posted 7 days ago

Our client is a rapidly expanding international FinTech, who is excited to be among the fastest-growing companies in the payments industry. The team collaborates to develop a world-class, all-in-one payments orchestration platform that offers our clients extensive capabilities, technologies, and ...

• Lawton
• Up to US$100000 per annum
• Posted 9 days ago

A bank in Oklahoma is looking to add a BSA Compliance Officer to their team! While reporting to the CFO, you will be responsible for ensuring that requirements of regulatory laws, Bank Secrecy Act (BSA) and Community Reinvestment Act (CRA) are being integrated in the bank's policies and procedure...

• Chicago
• Negotiable
• Posted 9 days ago

We have a current opportunity for a Compliance Officer on a permanent basis. The position will be based in Chicago. For further information about this position please apply. Assist with formal FINRA, CBOE, and ICE firm examinations Research and prepare memos on relevant SRO and Federal Securities...

• Boston
• US$170000 - US$190000 per annum
• Posted 9 days ago

Our client, a top Investment Management Firm located in Boston, is in search of a Senior Compliance Manager to add to their fast growing team. Responsibilities include supervising the development of the US compliance program, ensuring compliance with regulations, and collaborating with all staff....

• Boston
• US$170000 - US$190000 per annum
• Posted 9 days ago

Our client, a top Investment Management Firm located in Boston, is in search of a Senior Compliance Manager to add to their fast growing team. Responsibilities include supervising the development of the US compliance program, ensuring compliance with regulations, and collaborating with all staff....

• San Francisco
• US$75000 - US$80000 per annum
• Posted 9 days ago

We are partnering with a leading Expert Networking Firm to source for a motivated and ambitious Compliance & Legal Associate. The Associate will work alongside the manager to juggle multiple projects across both regional and global teams. This is great opportunity to showcase leadership qualities...

• New York
• US$100000 - US$115000 per annum
• Posted 9 days ago

Our Client: This growing financial institution has the a goal to give investors tactics for realizing China's significance as a crucial component of a well-planned investment portfolio. Their team manages about $8.7 billion in assets as of December 2023, aims to offer first-to-market, creative st...