Compliance/Regulatory jobs
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Found 25 North America jobs
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Operations, Accounting and Office Manager
Legion Partners is a small and mid-cap focused activist manager. We run a concentrated, long-only public equities strategy focused on North Americ...
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Policy Associate, Global Policy Initiatives
The Institute of International Finance (IIF) is the global association of the financial industry, with member firms from more than 60 countries. Th...
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Operations, Accounting and Office Manager
Legion Partners is a small and mid-cap focused activist manager. We run a concentrated, long-only public equities strategy focused on North Americ...
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Senior Compliance Officer
Global Alpha Capital Management is looking to hire a Senior Compliance Officer who will, over time, transition to a Chief Compliance Officer role
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SECURITIES COMPLIANCE EXAMINER
The Division of Examinations is filling two positions for a Securities Compliance Examiner, one located in Boston, MA and one located in Miami, FL.
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Operational Diligence Manager
This role will lead the day-to-day operational diligence function for all external investment managers utilized by the NS-EEH investment portfolios.
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Senior Invest & Treasury Analyst, Remote, Finance-Investments & Treasury, FT, 08A-4:30P
Baptist Health is a seeking a Senior Analyst, Investments & Treasury. Strong relationship skills and 7+ years experience desired.
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Director, Sustainability Compliance
Description About this role Summary : We are seeking a self-motivated, experienced regulatory professional to support BlackRock's sustainabili...
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Compliance Analyst
Description The Compliance Analyst will support CME Group's Governance, Risk and Compliance (GRC) department, specifically Cash Markets Regula...
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Investment Guidelines Compliance Analyst
Description About this role Portfolio Compliance: Implementations: Associate Portfolio Compliance Group Implementation Team Have a passion for the ...
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Sales Supervision Manager - Trade & New Account Review
Perform Centralized Supervision Unit (CSU) sales supervision, including risk-based reviews in targeted areas requiring technical expertise for a va...
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Business Oversight Compliance - BI
As a Barclays Americas Financial Crime BOC Assistant Vice President, your responsibilities include providing oversight of the sufficiency and consi...
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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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Regulatory Compliance Associate - Investment Management
Responsibilities: Responsible for assisting the CCO in developing, implementing, and maintaining the day-to-day operations of the Firm's compliance...
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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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Compliance Advisory, Senior Associate, Hybrid
Who we are looking for With immediate effect we are looking for Compliance Advisory, Senior Associate to join State Street Global Advisors ("SSGA")...
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Senior Compliance Officer - U.S. Registered Funds Compliance
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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Vice President, Compliance - Trade Surveillance and Forensic Testing
Description About this role L&C Overview BlackRock's L&C Department protects BlackRock's reputation and provides advice to and oversight ...
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Compliance Change - US Lead
Barclays is one of the world's largest and most respected financial institutions, with 329 years of success, quality, and innovation behind u...
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RISK & CONTROLS MANAGER (HR) - FIN SERVICES AUDIT, COMPLIANCE OR RISK EXPERIENCE REQUIRED
RISK & CONTROLS MANAGER (HR) - FIN SERVICES AUDIT, COMPLIANCE OR RISK EXPERIENCE REQUIRED Ref: 3938D $100K -$110K + benefits DULLES AREA (VA) Our c...
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Regulatory Attorney
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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