Corporate Governance Compliance
2,458 open positions
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Branch Ops Manager BmoLondon, ON, CAN, CA $65k–$115k1d Provides operational support and management of sales compliance and regulatory requirements for a branch or region.
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Primary Market Regulation Manager - FTC LsegLondon, United Kingdom 1d Assessing eligibility of issuers and debt securities for admission to the International Securities Market (ISM) and providing regulatory advice on primary market rules.
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Assistant Manager Compliance TheapexgroupSt Helier, JE 1d Support the Compliance Team in administrative tasks, regulatory matters, AML/CFT monitoring, and reporting to enable robust management information for boards.
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Business Unit Operational Risk Analyst RegionsCharlotte, NC - Charlotte Uptown Branch, US $52k–$65k1d Ensures business unit operations comply with regulatory and legal requirements and organizational policies as part of the first line of defense.
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Compliance Officer - Risk Evaluation and Assurance KeyBankBrooklyn, OH, US $71k–$125k1d Develop policies and procedures to ensure compliance with banking laws and regulations, providing independent Second Line of Defense monitoring and evaluation.
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Counsel, Product Legal AirwallexUS - San Francisco 1d Lead counsel for Airwallex's Yield product, providing legal, regulatory, and strategic advice on product lifecycle, licensing, and multi-regional launch execution.
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Senior Region Registered Principal AmeripriseRemote $115k–$158k1d Supervise sales activities and suitability of advisors' entire book of business in accordance with Written Supervisory Procedures (WSPs) within an assigned Office of Supervisory Jurisdiction (OSJ).
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Director, Global Regulatory Reporting, Core Compliance InvescoAtlanta, Georgia, US 1d Strategic leadership of the global regulatory reporting program, overseeing shareholder disclosure, Form PF/NFA filings, and technology-enabled reporting solutions.
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Directeur Conformité H/F AlliancewdFontenay-sous-Bois, FR 1d Ensure the effectiveness and robustness of the compliance framework for a French automotive financing subsidiary, managing risk mapping, regulatory reporting, and relationships with supervisory authorities.
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Sr. Legal Counsel (Retirement Plan Services (RPS), Retirement & Trusts) TrowepriceOwings Mills, MD, US $145k–$309k1d Sr. Legal Counsel providing specialized legal advice on the creation, operation, and administration of Collective Investment Trusts (CITs) and retirement plans.
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Legal Counsel (Regulatory) MgpruLondon, GB 1d Senior in-house legal counsel managing regulatory compliance, legal risk, and contentious matters for an asset management business.
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Austin Legal, Risk and Compliance Intern - 2027 RoberthalfAUSTIN, US $58k1d Legal, Risk and Compliance intern collaborating with clients to deliver high-quality solutions on complex business problems within internal control and risk frameworks.
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Enterprise Compliance Differentiated Solutions Senior Specialist NorthwesternmutualMilwaukee, WI Corporate, US $70k–$105k1d Execute and support compliance activities and practical business solutions for complex field practices, coordinating with Enterprise Compliance, supervision, and field stakeholders to ensure consistent execution and risk management.
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Global Head of Wealth Management Compliance Northern TrustChicago, IL, US $172k–$301k1d Leading, developing, and executing the compliance strategy for the firm's global wealth management business to ensure regulatory obligations are met across jurisdictions.
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Corporate Secretarial Executive DentonsSingapore, Singapore, SG 2d Handle all aspects of clients' company secretarial matters for listed and non-listed companies, including incorporation, statutory filings, and compliance with the Companies Act.
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Compliance Manager AvivaDublin, Leinster, IE €60k–€68k2d Support the Head of Compliance in maintaining and enhancing the compliance framework, overseeing regulatory compliance, conduct risk management, and assurance activities for general insurance.
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Legal Counsel - Derivatives Groupe BPCELondon, England, GB 2d Advise on the legal basis for structured derivatives and related activities, including OTC transactions, platform-based trading, clearing and repurchase transactions.
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Senior Compliance Manager Lockton, Inc.London, England, GB 2d Senior Compliance Manager delivering compliance advisory services, managing regulatory risk, and supporting business growth for an insurance broker across the UK and Europe.
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Legal & Compliance Manager Senior Associate/Vice President (SFC Type 4 & 9) GratiCoreHong Kong, Hong Kong, HK 2d Senior compliance manager ensuring regulatory adherence for SFC Type 4 (Advising on Securities) and Type 9 (Asset Management) activities.
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2027 Compliance Summer Analyst- Dallas ScotiabankDallas, TX, US $65k2d Support the U.S. Central Compliance and U.S. Monitoring and Testing Compliance team in oversight of core compliance infrastructure, governance functions, risk assessments, and regulatory obligations.
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Financial Institution Senior Consultant (SOX and FDICIA Controls) Baker TillyNew York, NY, US 2d Senior Consultant providing risk advisory services to financial institutions, focusing on SOX and FDICIA regulatory compliance, internal controls, and governance strategies.
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Vice President, Liquidity Risk Management TDS (US) TD Bank GroupNew York, NY, US $115k–$175k2d Provide independent risk management oversight of the Liquidity Management team, ensuring liquidity risks are understood, analyzed, and measured against risk appetite and regulations.
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Liquidity Risk Oversight, Vice President Sumitomo Mitsui Financial Group, Inc.New York, NY, US $145k–$185k2d Lead special projects and provide independent oversight of liquidity risk, funding positions, and regulatory compliance for SMBC branches and legal entities in the Americas region.
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Risk and Compliance Manager OldmutualPinelands, ZA 2d Lead the design, implementation, and ongoing management of the first-line risk and compliance function for Symmetry, a division of Old Mutual, ensuring effective controls and regulatory adherence.
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Compliance Officer Morgan McKinleySydney, New South Wales, AU $140k–$190k3d Establish robust compliance frameworks across Australian and offshore markets, oversee external service providers, and manage the end-to-end compliance function for a Private Equity firm.
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Compliance Officer Virtu FinancialSingapore 3d Shape the Compliance function through innovation, analytical thinking, and process improvement while serving as the face of the team internally and externally.
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Assistant General Counsel - Funds Legal Team BaringsLondon, England, GB 3d Provide pragmatic legal advice on the establishment, structuring, and ongoing operation of Barings investment funds across Luxembourg, Irish, and UK platforms, including relevant regulatory considerations.
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interim Legal Counsel (12 month FTC) Jupiter Asset Management LtdLondon, England, GB 3d Interim Legal Counsel providing general legal advice and regulatory compliance support for Jupiter's investment management business, including Irish UCITS funds and Cayman platforms.
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Control Room Senior Analyst Macquarie GroupLondon, England, GB 3d Maintaining information barriers, tracking material non-public information (MNPI), managing Watch and Restricted Lists, and overseeing UK Takeover Code disclosures within a global financial services group.
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Prudential Policy Lead FCALondon, England, GB £59k–£91k3d Lead the development and enhancement of high-impact prudential policy regimes for over 46,000 FCA-regulated firms, including IFPR/MIFIDPRU, MIPRU, IPRU, and standards for payments, e-money, and cryptoasset firms.
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Knowledge Lawyer- Fintech Clifford ChanceLondon, England, GB 3d Senior legal professional specializing in fintech and digital assets regulation, focusing on knowledge management, legal training, and research.
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Senior Legal Counsel Russell InvestmentsLondon, England, GB 3d Senior Legal Counsel providing regulatory and commercial legal advice for Russell Investments' UK and EMEA financial services operations.
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Client Inception Lead Flint BishopDerby, England, GB 3d Design and embed a centralized client and matter inception function, transitioning from individual fee earner onboarding to a unified compliance model.
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Markets Compliance Testing (2LoD) MUFG Bank, Ltd.London, England, GB 3d Vice President leading risk-based assurance and compliance testing across EMEA for a global financial group.
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Assistant Manager - Regulatory Compliance IQ-EQLanark, Scotland, GB 3d Champion a strong compliance culture, maintain regulatory registers, support regulatory compliance, review compliance documentation, and coordinate compliance projects for a global investor services group.
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Asset Manager & Insurance Legal, VP State Street CorporationBoston, MA, US 3d VP Legal Counsel advising Investment Services business leaders and institutional clients on legal, regulatory, commercial, and operational matters for asset managers and insurance companies.
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Senior Associate, National Security-Trade Controls Alvarez & MarsalSan Francisco, CA, US $85k–$120k3d Conducting legal and regulatory risk assessments, compliance program effectiveness assessments, and internal factfinding investigations for national security components of transaction diligence.
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Senior Legal Counsel - Director, Corporate Finance & Securities Credit Acceptance CorporationSouthfield, MI, US 3d In-house legal partner for SEC reporting, securities compliance, treasury, and debt financing transactions for a public company.
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Legal & Compliance - Conflicts Clearance, VP BlackstoneSan Francisco, CA, US $165k–$250k3d VP leading conflicts clearance, restricted/watch list management, and information wall oversight for a global alternative asset manager.
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