Corporate Governance Compliance
1,028 open positions
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Associate Director, State Government Affairs FinraWashington, DC (Job Posting), US $114k–$114k1mo Serves as a liaison on state regulatory and legislative matters, monitoring initiatives affecting FINRA and the securities industry to deliver actionable intelligence to senior leadership.
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Regional Front Office Risk Manager LgtBrisbane, AU 1mo Oversee advice suitability, business conduct, and regional Front Office risks as the first line of defence for LGT Wealth Management's Australian clients.
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Compliance Expert NubankCiudad de México 1mo Identify regulatory risks, design and implement controls, and provide advisory to business units on regulations and internal policies to ensure compliant product launches.
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VP, Osaic Advisors Channel Compliance AdvisorgroupScottsdale, AZ, US $170k–$170k1mo Lead compliance for Osaic's Empowered Independence Channel, covering both broker-dealer and investment adviser requirements for advisory-heavy, multi-custodial business models.
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Lead Governance Associate↗ Yorkshire Building SocietyLeeds, ENG, GB 1mo Lead Governance Associate supporting Board and Committee operations, statutory compliance, and governance frameworks for a member-owned society.
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Compliance Manager - Hong Kong DrwengHong Kong 1mo Ensure compliance with SFC and HKEX rules, monitor regulatory developments, and manage market conduct surveillance for DRW's Hong Kong trading operations.
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Benefits Compliance and Legal Analyst - Legal AmerenSt. Louis, MO, US $89k–$89k1mo Provides legal and compliance support for employee benefit plans, including regulatory filings, vendor agreements, and fiduciary governance.
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Associate, Compliance and Oversight - 12month FTC LloydsLloyd's UK: Chatham 1mo Ensure regulatory, governance, and trustee responsibilities are met for corporate members and third-party capital providers through compliance reviews, investigations, and risk monitoring.
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Director - Futures Commission Merchant (FCM) Crypto.comChicago,IL 1mo Lead the regulatory compliance function for a registered Futures Commission Merchant (FCM) specializing in prediction markets and event contracts, ensuring adherence to CFTC and NFA regulations.
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Asset Management Counsel GalaxydigitalservicesNew York $200k–$200k1mo Legal counsel supporting Galaxy Asset Management with fund formation, investment structuring, compliance, and regulatory advisory for private funds, ETFs, and digital assets.
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Compliance Operations Officer Capital.ComMelbourne, Victoria, Australia 1mo Embed practical, risk-based controls to align Capital.com's regulated expansion in Australia with AFSL, ASIC, and AML/CTF expectations for OTC-derivatives.
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Legal & Compliance - Real Estate, VP BlackstoneNew York, US $165k–$165k1mo VP of Legal & Compliance supporting Real Estate funds, acting as a nexus between fund formation, transaction, and compliance teams to manage investor obligations and regulatory filings.
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Prawnik/Prawniczka | Kancelaria PwC Legal (Regulatory/Fintech/AI) PwCWarszawa, PL 1mo Providing legal advisory and regulatory compliance support for clients in AI, fintech, ESG, and cybersecurity, with a focus on implementing new financial regulations.
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Global Speak Up Manager RambollKøbenhavn S, dk 1mo Manage Ramboll's global whistleblower program, conduct independent investigations into sensitive conduct matters, and ensure compliance with international whistleblower legislation.
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Chief Compliance Officer LennarTallahassee FL - Virtual 1mo Lead Lennar Mortgage's Compliance Management System to ensure adherence to federal/state mortgage laws, investor requirements, and internal policies while serving as a strategic partner to executive leadership.
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(Senior) Associate Financial Services Regulation (w/m/d) NoerrHamburg, DE 1mo Provide legal solutions for complex regulatory questions in the financial services sector.
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Senior Manager, Project Management- Corporate Surveillance CapitaloneNew York, NY, US $162k–$162k1mo Lead complex projects and programs for the Corporate Surveillance team, bridging regulatory necessity with technology to ensure capital markets clients remain compliant.
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Credit Products Flood Insurance Specialist RegionsHoover, AL - Riverchase North Building (Birmingham, AL) $51k–$51k1mo Assessing and validating Make, Increase, Renewal or Extension (MIRE) events in Corporate Banking to ensure adequate flood insurance compliance with the Flood Disaster Protection Act (FDPA).
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Associate Compliance Manager InvescoHyderabad, Telangana 1mo Monitor, prepare, and file regulatory reports and disclosures for substantial shareholdings across global regions to ensure compliance with regulatory requirements.
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Senior Counsel, Product CoinbaseRemote $225k–$225k1mo Primary legal partner to product, engineering, and design teams building stablecoins, payments, and crypto infrastructure, providing full product life-cycle counseling from ideation through launch.
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Broker of Record (Commercial Real Estate) DexterraWestminster, CO, us 1mo Provide regulatory oversight, professional judgment, and governance to establish and maintain a compliant commercial real estate brokerage operation in Denver.
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Trading Regulatory Officer Met-GroupBudapest, hu 1mo Provide trading regulatory advice and ensure compliance with regulations (EMIR, REMIT, MiFID II/R, MAD/MAR) for a commodity/trading organization.
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Sr. Analyst, Investment Compliance - NA Monitoring TrowepriceBaltimore, MD $87k–$87k1mo Senior analyst ensuring investment activities comply with regulatory, prospectus, and internal restrictions for T. Rowe Price portfolios.
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Manager, Line 1 Risk and Compliance - Asset Services↗ Ss&cSydney, NSW, AU 1mo First-line oversight of regulatory compliance and risk controls for a financial services technology company, ensuring alignment with APRA, ASIC, AUSTRAC, FATCA, and CRS obligations.
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VP, Assistant General Counsel - Brokerage LplfinancialFort Mill/Charlotte, US $169k–$169k1mo Provide strategic legal advice and regulatory compliance support for LPL's broker-dealer business, including M&A, platform conversions, and client agreements.
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Governance Assistant Lbg5 Locations $35k–$35k1mo Full-time Governance Assistant supporting the Corporate Governance function by managing work requests, coordinating records, and providing analytical support on projects and documentation reviews.
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Suitability Principal↗ MassMutualSpringfield, MA, US $69k–$69k1mo Conduct suitability reviews on variable annuities, brokerage, advisory, and mutual fund accounts to ensure alignment with regulatory requirements and firm policies.
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Regulatory Officer (Supervision)↗ The Bar CouncilLondon, ENG, GB $38k–$38k1mo Supervise barristers, chambers, BSB entities, and postgraduate Bar training providers to protect public interest and ensure compliance with regulatory standards.
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Compliance Officer, Caymans FalconXNew York $132k–$132k1mo Dedicated compliance manager for FalconX's Cayman Islands operations, overseeing regulatory adherence, AML/CFT execution, and entity governance.
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Product Counsel (Money Movement Legal - APAC) StripeSingapore Locations 1mo Advise product, engineering, and partnerships teams on legal and regulatory compliance for money movement products across Asia-Pacific.
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Compliance Associate Cermati-ComJakarta, Jakarta, id 1mo Support the Compliance Lead in regulatory licensing projects, interpret financial regulations, and ensure accurate reporting to regulators.
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Regulatory Risk Manager DeloitteieDublin $74k–$74k1mo Provide technical expertise to assist financial services clients in managing regulatory requirements, adapting to evolving expectations, and navigating complex regulatory landscapes.
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Head of Legal↗ EvotymRemote 1mo Shape the legal landscape and regulatory strategy for a leading crypto company, influencing product development from inception to ensure compliance across multiple jurisdictions.
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Investigations Specialist↗ NetAppSingapore, S00, SG 1mo Lead end-to-end compliance investigations into complex matters including bribery, corruption, antitrust, conflicts of interest, and financial misconduct to promote fairness and integrity.
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Senior Compliance Officer CiToronto, ON $55k–$55k1mo Senior Compliance Officer supporting regulatory compliance programs for an Investment Fund Manager and Exempt Market Dealer, focusing on sales practices and communications.
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Member of Legal, Brokerage and Trading Solutions AnchorageUnited States 1mo Legal Counsel for Trading Solutions team providing strategic legal guidance, conducting research, establishing policies, and ensuring regulatory compliance for institutional crypto trading products.
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Compliance - Senior Compliance Officer - New Jersey B2c2New Jersey 1mo Senior Compliance Officer leading the U.S. compliance function for a digital asset liquidity firm, managing regulatory engagement, program implementation, and team leadership.
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Senior Compliance Advisor - Advice & Wealth Management VanguardMalvern, PA, US 1mo Design and enhance compliance programs for investment services, provide regulatory guidance to business leaders, and monitor risk to ensure ethical investing standards.
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Forensic Auditor, Investigation Services↗ Law Society of OntarioToronto, ON, CA 1mo Investigate complex financial misconduct and professional conduct issues of lawyers and paralegals using forensic accounting practices to determine compliance with regulatory obligations.
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Senior Compliance Advisor IaQuebec, Quebec, CA $97k–$97k1mo Provide strategic advisory services on complex regulatory matters for insurance, savings, and retirement solutions, supporting sales teams and manufacturers while stewarding compliance training.
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Manager, Market Risk Oversight Compliance, Risk and Controls BmoToronto, ON, CAN $76k–$76k1mo Implements, maintains, and administers compliance programs; coordinates risk assessment, monitoring, and testing to ensure alignment with regulatory and fiduciary obligations.
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Manager Asset Specialist↗ HSBCHR, IN 1mo Subject matter expert supporting Relationship Managers in the end-to-end sourcing and disbursement of asset products (Mortgage, Personal Loans, Loan Against Securities) while ensuring compliance with local regulations and AML/Sanctions policies.
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Job Posting Title Independent Sales Audit (ISA) Analyst↗ OcbcSingapore, S00, SG 1mo Conduct post-transaction reviews and independent audits of sales representatives to ensure compliance with MAS regulations and internal policies.
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