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Jobs: Compliance / Legal

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Compliance / Regulatory, In-house Legal, Other

	NY, MA, NJ, CA, CT, PA, TX, VA, WA, FL, IL, DC, DE, CO
	New York City, Jersey City, Boston, San Francisco, More...
	UK, Luxembourg, Singapore, China, France, Ireland, UAE, Australia, Japan, Belgium, Switzerland, Netherlands, Italy, More...

1-30 of 542 Jobs

Company

Location

Date



	Portfolio Compliance Analyst	BlackRock Inc. Salary: not disclosed	USA-DE-Delaware	20 Aug
	See job description below


	Vice President, Hedge Fund Compliance Officer	Morgan Stanley Salary: not disclosed	USA-CT-Greenwich	20 Aug
	See job description below


	PWM Senior Compliance Officer	Morgan Stanley Salary: not disclosed	USA-NY-White Plains	20 Aug
	See job description below


	Commodity Compliance Coverage	Morgan Stanley Salary: not disclosed	USA-NY-White Plains	20 Aug
	See job description below


	Senior Commodity Compliance Coverage - Oil Liquids	Morgan Stanley Salary: not disclosed	USA-NY-White Plains	20 Aug
	See job description below


	General Counsel	University of Virginia In... Salary: competitive base salary,...	USA-VA-Charlottesville/Harrisonburg	20 Aug
	The University of Virginia Investment Management Company (UVIMCO) seeks an exceptional attorney to lead all legal review and...


	Fixed Income Advisory Compliance Officer - AVP	Deutsche Bank Salary: competitive/ DOE	USA-NY-New York City	19 Aug
	About Deutsche Bank Deutsche Bank is a leading global investment bank with a strong and profitable private clients franchise...


	Trading Auditor/Compliance (Investment Management)	Northwest Integrators LLC Salary: Highly competitive (base...	USA-CT-Stamford	19 Aug
	Trading Auditor needed to work closely with legal & Compliance to ensure traders are adhereing to predetermined trading and i...


	Business Analyst - Business Management & Control	Not Disclosed Salary: Commensurate with experie...	USA-CT-Stamford	19 Aug
	Business Management & Control - Business Analyst. The individual will manage the implementation of initiatives as dictated b...


	Vice President - Senior Investment Management Attorney (J5234)	Barker & Gilmore, LLC Salary: Base and Bonus	USA-NY-New York City	19 Aug
	Our client, a leading international asset management company, seeks a senior level investment management attorney to provide...


	Compliance Associate	Street Advisor Group Salary: Very Competitive	USA-NY-New York City	18 Aug
	Well funded, quantitative global arbitrage fund seeks a motivated, detail oriented individual for a Compliance Associate role...


	Senior Compliance Officer	Metropolitan West Asset M... Salary: Competitive	USA-CA-Los Angeles	18 Aug
	The Senior Compliance Officer assists the Chief Compliance Officer (CCO) in monitoring activities related to two investment a...


	Retirement Compliance Testing Administrator	Vanguard Salary: Commensurate	USA-PA-King of Prussia	18 Aug
	See below


	Retirement Compliance Testing Manager	Vanguard Salary: Commensurate	USA-PA-King of Prussia	18 Aug
	See below


	Senior Compliance Officer: Investment Bank	Ashton Lane Group, Inc Salary: Excellent Base & Bonus	USA-NY-New York City	18 Aug
	Responsible for a variety of regulatory and compliance functions of a global investment bank.


	Compliance (Sales and Marketing) - Broker Dealer	Not Disclosed Salary: The salary on offer is at...	USA-MA-Boston North	18 Aug
	Our client requires a Manager of Broker Dealer Compliance, with primary focus on the review of Sales and Marketing materials....


Administrative Assistant - DMS and Sub-Advisory	Eaton Vance Salary: not disclosed	USA-MA-Boston	18 Aug
See job description below


Administrative Assistant - DMS and Edgar	Eaton Vance Salary: not disclosed	USA-MA-Boston	18 Aug
See job description below


Compliance Officer - Trading Surveillance	Michael Page Salary: $65-$85k	USA-CT-Norwalk	18 Aug
Approve or deny employee trades based on Black-out or Restricted Lists.


INVESTMENT COMPLIANCE ANALYST	Not Disclosed Salary: Competitive	USA-NY-New York City	18 Aug
Top investment firm has an excellent opportunity for an Investment Compliance Analyst to join the Risk Oversight Group (“ROG”...


Director Corporate Governance	Not Disclosed Salary: base $ 200 - $ 250 + bonu...	USA-NY-New York City	18 Aug
Direct the Governance activities of major Financial Company. Analysis of Shareholder and investor community. Evaluate existin...


Account Support Executive	Macquarie Holdings Salary: Excellent compensation fo...	USA-NY-New York City	18 Aug
As a result of growth, we are currently seeking an account support executive in the New York office.


Manager of Compliance Control Room	Not Disclosed Salary: $130,000 - $230,000	USA-NY-New York City	18 Aug
The Control Room Manager will work closely with the firm's Chief Compliance Officer and other compliance professionals to mai...


Senior Compliance Officer - Investment Management	Legend Global Search, Inc... Salary: Depends on Experience	USA-NY-New York City	15 Aug
Compliance Officer - Asset Management Compliance


Compliance Officer - Investment Guidelines and Restrictions	Legend Global Search, Inc... Salary: $70K - $90K	USA-NY-New York City	15 Aug
Compliance - Investment Guidelines and Restrictions - Asset Management Firm


Vice President - Compliance for US Banking	Legend Global Search, Inc... Salary: $165K + Bonus	USA-NY-New York City	15 Aug
VP - Compliance - Banking - Global Financial Services Company


Senior AML Officer - Seattle, Washington	Legend Global Search, Inc... Salary: $150K - $180K	USA-WA-Seattle	15 Aug
Senior AML Officer - Bank - Seattle, WA


Mortgage Executive CCO/JD	Michael Page Salary: 500,000 - 1,500,000	USA-NY-New York City	15 Aug
Top Hedge Fund is looking for a legal/compliance mortgage expert to head the newly launched mortgage purchasing platform. Can...

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The global newsweekly
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derivatives professionals