Compliance/Regulatory jobs

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Found 22 United States jobs

  • Counsel

    • Newport Beach, USA
    • Competitive
    • PIMCO

    About Us: We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset clas....

    New

  • Experienced Marketing Compliance Reviewer

    • Austin, USA
    • Competitive
    • PIMCO

    About Us: We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset clas....

    New

  • Senior Compliance Officer

    • Newport Beach, USA
    • Competitive
    • PIMCO

    About Us: We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset clas....

    New

  • MARKET SURVEILLANCE SPECIALIST

    • Washington D.C.
    • $113,533 to $192,347 per year
    • U.S. Securities and Exchange Commission

    The SEC seeks to fill a Market Surveillance Specialist, position is in the Division of Enforcement, located in Washington, DC.

  • Compliance Analyst/Officer

    • Brooklyn, Ohio, San Antonio, TX
    • Salary will be commensurate with experience, Great Benefits Package!
    • Victory Capital Management, Inc.

    You will be a member of a centralized team that has responsibility for the development, assessment and monitoring of the compliance program of an A...

  • Experienced Marketing Compliance Reviewer

    • Newport Beach, USA
    • Competitive
    • PIMCO

    About Us: We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset clas....

  • Legal Specialist

    • New York, USA
    • Competitive
    • PIMCO

    About Us: We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset clas....

  • Counsel

    • Newport Beach, USA
    • Competitive
    • PIMCO

    About Us: We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset clas....

  • AVP On-Site Controls

    • New York, USA
    • Competitive
    • Hamlyn Williams

    Hamlyn Williams have partnered with a leading European bank to bring on organized and motivated individuals to fill its On-Sight Controls Assistant...

  • Senior Compliance Analyst

    • Tigard, Oregon
    • $73,584 - $113,820 annually
    • Oregon State Treasury

    Oregon State Treasury is focused on improving the financial well-being of all Oregonians. We provide low-cost programs for governments, and empower...

  • Paralegal

    • Austin, USA
    • Competitive
    • PIMCO

    About Us: We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset clas....

  • Counsel

    • Newport Beach, USA
    • Competitive
    • PIMCO

    About Us: We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset clas....

  • Counsel

    • Austin, USA
    • Competitive
    • PIMCO

    About Us: We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset clas....

  • Senior Compliance Officer

    • Newport Beach, USA
    • Competitive
    • PIMCO

    About Us: We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset clas....

  • Compliance Officer - ESG

    • Newport Beach, USA
    • Competitive
    • PIMCO

    About Us: We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset clas....

  • Paralegal- Regulatory

    • Newport Beach, USA
    • Competitive
    • PIMCO

    About Us: We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset clas....

  • Senior Analyst, Due Diligence

    • Fairfield, Iowa (US) or Phoenix, Arizona (US)
    • Up to $78,000 per year + benefits, more qualified candidates may be eligible for higher salary
    • Cambridge Investment Research, Inc.

    Overview Cambridge Investment Research Inc., one of the nation’s top independent broker-dealers, is actively looking for a person who has a passion...

  • Manager, Fund Administration

    • Brooklyn, Ohio (US)
    • Salary is commensurate with experience. Great Healthcare, 401(k), & more benefits available.
    • Victory Capital Management, Inc.

    You have a strong understanding of the rules and regulations that apply to open and closed end investment companies and exchange traded funds.

  • Portfolio Management Associate

    • Minneapolis, Minnesota
    • $60,000 to $65,000 per year
    • The Strategic Implementer

    Flourish Wealth Management is a growing, independent, fee-only, boutique wealth management firm located in Edina, Minnesota. We provide comprehensi...

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