Associate General Counsel – Regulatory Compliance - New York City Metropolitan Area

A senior-level opportunity within a Broker-Dealer Regulatory Governance & Advisory team at a global financial institution. · ...

This Regulatory Affairs Specialist contractor position supports US Beverages Regulatory Affairs initiatives. The person in this position will interact with various Regulatory Leads to complete assigned projects. · Support graphic refreshes of the Beverages portfolio which include ...

The Regulatory Compliance Officer will provide advisory to Lines of Business on new product development and regulatory guidance. · Lead and manage regulatory exams. · Analyze existing legislation for compliance vulnerabilities. · ...

We are partnered with a foreign banking organization seeking to hire a VP Lead Auditor to join their Regulatory Compliance Audit team based in New York City. · This position will lead and execute audits focused on second-line regulatory compliance ensuring adherence to internal p ...

A leading global financial institution is looking for a Compliance Officer to support firmwide policy and regulatory governance initiatives. · ...

Location: REMOTE · Experience: 4–6 Years · Industry: Banking / Financial Services / FinTech · Job Summary: · We are seeking an experienced SAMA Compliance Specialist with 4–6 years of experience in regulatory compliance within banking or financial services. The candidate will be ...

We are seeking a highly organized and proactive Compliance Associate to support regulatory and compliance functions across a multi-vehicle investment platform in the Private Equity and Venture Capital space. · Support preparation and filing of regulatory disclosures · Assist with ...

An Equities Compliance Officer opportunity with a globally recognized financial services firm. This role supports the Equities business providing day-to-day regulatory guidance and oversight in line with U.S. securities laws and SEC/FINRA requirements. · ...

Compliance associate will join a lean compliance function and report directly to the CCO on day-to-day regulatory oversight monitoring and programme development. · Maintain and enhance compliance policies procedures and the Code of Ethics · ...

A leading global financial services and wholesale banking firm is seeking a Compliance Regulatory Change Lead to support its U.S. Wholesale business. · ...

We seek a Compliance Specialist consultant to join our team on a high-impact contract-to-hire basis. · ...

This is a senior-level opportunity with a rapidly growing blockchain-based prediction market platform that allows users to trade on real-world events using crypto., · Provide expert guidance on CFTC DCM SEF and exchange regulations. · Advise business units and senior management o ...

We are supporting a Compliance Associate role with a global investment management firm. · ...

A leading Broker Dealer firm is looking to hire a Head of Central Compliance for its New York City office. · ...

A globally active real estate investment platform is seeking a Director of Compliance to support its expanding U.S. regulatory and marketing review program. · Act as central reviewer for investor-facing marketing materials including pitchbooks presentations PPM excerpts case stud ...

We are growing and seeking a Compliance Associate who wants meaningful client exposure, accelerated learning, and a defined path for advancement. · ...

We are looking for a Senior Director of Global Regulatory Affairs to join our team in NYC. · Lead and oversee the global regulatory strategy · ...

A leading global financial institution is looking for a Vice President of Volcker Compliance to support firmwide governance and oversight initiatives. · ...

The Director of Compliance oversees and manages the Fund's compliance program to ensure that the organization is upholding best practices, fostering ethical behavior and maintaining standards and operates in accordance with regulatory requirements, law and policies. · <ul style= ...

Key Responsibilities · Serve as a subject matter resource on U.S. regulatory requirements applicable to exchange-traded products and registered asset managers. · Track and assess regulatory updates, enforcement trends, and industry developments impacting fund structures, portfoli ...