Compliance/Regulatory Finance - General Full Time jobs
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Found 12 New York City jobs
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Divisional Governance Specialist - Client Relationship Group
About this role: Wells Fargo is seeking a Divisional Governance Specialist in Wealth and Investment Management as part of Wells Fargo Advisors. Lea...
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Director, Compliance Consulting - Funds Experience and 1940 Act/NFA/CFTC Knowledge Required
Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance profession...
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Senior Immigration Paralegal
The Role: Senior Immigration Paralegal The Grade/Level: (relevant for internal applicants only) GL 9 The Location: New York, NY; Englewood, CO; Dal...
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VP, Counsel
PIMCO is a global leader in active fixed income. With our launch in 1971 in Newport Beach, California, PIMCO introduced investors to a total return...
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VP - Senior Compliance Officer
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a...
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Compliance Officer - Personal Account Dealing - Legal and Compliance (12 month Contract)
The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up th...
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Counsel / Senior Counsel - Institutional & Administrative (for pooling only) (4101) (Base in Beijing
Counsel / Senior Counsel - Institutional and Administrative Department: Legal Department The Asian Infrastructure Investment Bank (AIIB) is a multi...
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Counsel / Senior Counsel - Private Sector Investment and Treasury Finance (for pooling only) (4081)
Counsel / Senior Counsel - Private Sector Investment and Treasury Finance Department: Legal Department The Asian Infrastructure Investment Bank (AI...
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AVP - Compliance Assurance
Salary / Rate Minimum: $ 115,000 Salary / Rate Maximum: $ 145,000 The minimum and maximum salary/rate information above include only base salary or...
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Compliance Monitoring and Testing Assistant Vice President
As a Barclays Assistant Vice President - Compliance Assurance, you will be a key associate in Compliance and will be monitoring and managing all ma...
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Compliance Officer, Private Investments
About Us Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets....
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Head of Compliance and Legal - Broker Dealer/Securities
Responsibilities: Maintain in-depth knowledge of the Firm's business and activities to ensure adequate legal and compliance oversight as the busine...
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