Compliance/Regulatory jobs

Found 7 jobs for open / negotiable

• Compliance Analyst - 2 roles - one in Advertising and one in Trade surveillance

  • Los Angeles, California
  • Market Competitive
  • Wall Street Personnel

    Trade Portfolio Compliance: The Portfolio Compliance Analyst will assist the team with monitoring compliance program as it relates to the oversig...

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  • 5 days ago
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• Equity Trade Order Management Analyst

  • Los Angeles, California
  • Equity Trade Order Management Analyst - Asset Management Firm
  • Wall Street Personnel

  We are a financial services recruitment firm with a strong presence in Los Angeles,  Send us your information whether you are qualified or not as w...

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  • 5 days ago
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• Chief Compliance Officer of Broker - Dealer

  

  • Chicago, Illinois
  • Negotiable
  • GCM

  GCM is looking for a Compliance Officer for the firm’s limited purpose broker-dealer who can also support the investment advisers’ compliance program.

  View details Chief Compliance Officer of Broker - Dealer

  • 9 days ago
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• Director of Compliance

  

  • Chicago, Illinois
  • Salary Commensurate with Experience and Industry Standard
  • Duff & Phelps Investment Management Company

  Responsible for assisting compliance staff & Chief Compliance Officer in ensuring the firm is in compliance with applicable regulatory requirements.

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  • 18 days ago
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• Risk Management Senior Business Analyst

  

  • Chicago, Illinois
  • Competitive to market rate
  • William Blair

  Develop and enhance risk mitigation framework for leading boutique asset management firm including risk management tools, techniques and controls.

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  • 5 days left
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• Information System Auditor

  

  • Jalan Raja Chulan, Kuala Lumpur (MY)
  • Attractive remuneration & benefits, e.g. bonus, medical, dental, loans, retirement benefits, etc.
  • Public Mutual Berhad

  To perform application and general systems control audits, control process reviews and system development reviews for information systems.

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  • 37 days ago
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• Senior Executive - Operational Risk Management

  

  • Jalan Raja Chulan, Kuala Lumpur (MY)
  • Attractive remuneration & benefits, e.g. bonus, medical, dental, loans, retirement benefits, etc.
  • Public Mutual Berhad

  To assist in the development, enhancement and implementation of operational risk management policies/ guidelines.

  View details Senior Executive - Operational Risk Management

  • 37 days ago
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