Corporate Governance Compliance
1,026 open positions
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Head of European Compliance CboeLondon, United Kingdom 10d Lead and integrate the UK and Netherlands Compliance function for Cboe Europe's regulated entities, acting as an independent second line of defence.
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SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance LplfinancialNew York, US $213k–$213k10d Strategic legal partner shaping regulatory strategy for LPL's broker-dealer and investment advisory platforms, advising Compliance, Risk, and Business Development.
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Investment Compliance Associate, Monitoring TrowepriceRemote $70k–$70k10d Monitor investment activities against compliance restrictions in the Charles River system and manage manual compliance processes for T. Rowe Price portfolios.
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Senior Corporate Counsel - Corporate SnowflakeUS-CA-Menlo Park 10d Senior Corporate Counsel supporting a public company's legal function with focus on securities law compliance, corporate governance, and equity compensation.
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Assistant General Counsel, VP - Equity Finance WfNEW YORK, NY $191k–$191k10d Senior in-house legal advisor supporting equity finance operations including prime brokerage, stock loans, and derivatives.
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Paralegal - Corporate Governance & Securities FactSetNew York, NY, USA $80k–$80k10d Support corporate governance and securities functions including board meeting materials, regulatory filings, and shareholder reporting.
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Compliance Officer↗ Arohi Asset Management Pte. Ltd.Outram, S00, SG 10d Develop into a trusted understudy to the Chief Compliance Officer, providing effective coverage across the firm's MAS-regulated fund management business and SEC registered investment adviser obligations by translating regulatory requirements into practical…
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Associate Counsel AmeripriseMinneapolis, Minnesota, US $79k–$79k10d Associate Counsel providing broad legal support for the firm's asset management business, including portfolio management, research, trading activities, and investment products.
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Konsernjuridisk direktør StorebrandLysaker, NO 10d Lead the corporate legal function for a regulated financial services group, integrating legal strategy with business development and risk management.
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Supervisory Manager AbglobalNashville, Tennessee, US $100k–$100k10d Centralize oversight of regulatory reviews and business approvals across Private Wealth offices while supporting risk management efforts.
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VP, Counsel - Registered Funds PimcoNewport Beach, CA USA $205k–$205k10d Provide legal support for PIMCO's U.S. registered funds platform, ensuring compliance with the Investment Company Act of 1940 and related regulations.
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VP Legal & Regulatory Affairs -ESH(Must Live In New York) CareSourceNew York WFH, US $150k–$150k10d Lead legal, compliance, and regulatory affairs for ElderServe Health (ESH), ensuring adherence to laws, regulations, and government program requirements while supporting strategic business objectives.
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Compliance Officer↗ Hanmi BankLos Angeles, CA, US 10d Ensures conformity with state and federal laws, regulations, and policies within the Compliance Department, specifically focusing on banking regulations and risk management.
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Senior Product Counsel, Crypto FigureRemote $213k–$213k11d Senior legal counsel providing day-to-day product guidance at the intersection of crypto and securities law for a blockchain-native capital marketplace.
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Compliance Analyst - Broker Dealer Product Support Principal FinancialDes Moines, Iowa $69k–$69k11d Supports compliance functions for Principal Securities and Principal Funds Distributor broker dealers by conducting regulatory research, interpreting developments, and identifying risk exposures related to domestic Principal products and services.
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(Junior) Consultant (all genders) Advisory/Meldewesen DeloitteRemote $44k–$44k11d Implement regulatory requirements and optimize financial processes for clients in the financial services industry.
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Sessional Ombudsman, Banking and Finance AfcaRemote 11d Independent decision-maker resolving complex disputes in banking and finance for consumers and businesses.
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[쿠팡페이] 컴플라이언스 담당 사내변호사 CoupangSeoul 11d Designing and building internal control systems for Coupang Pay's financial services and new products to ensure regulatory compliance and customer protection.
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Director - Legal, Capital Markets PayPalNew York City, New York, United States of America $218k–$218k11d Provide strategic legal advice and counsel to senior management, influencing business strategy and decision-making for PayPal's global operations.
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Return To Work - Central Review Risk Officer- Wealth Management Client Segment | South Jordan, UT MsSouth Jordan, Utah, United States of America 11d Central Review Risk Officer overseeing sales practices, suitability, and regulatory compliance for the Wealth Management Client Segment, leveraging data and AI to enhance surveillance.
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Associate/ Senior Associate, Trade Surveillance & Exchange Compliance, APAC↗ Stonex GroupSingapore, S00, SG 11d Manage exchange compliance and trade surveillance in APAC by detecting market misconduct, managing exchange inquiries, and ensuring adherence to laws and regulations.
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Conseiller(ère) en conformité IaQuebec, Quebec, CA 11d Compliance advisor supporting strategic projects and corporate compliance programs for the collective insurance sector.
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New Partners Review - Senior Associate PwCBuenos Aires, AR 11d Develop and implement compliance policies, conduct risk assessments, and ensure adherence to legal and regulatory requirements within the Internal Firm Services practice.
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Senior Manager, RJFS Supervisory Solutions RaymondjamesRemote $100k–$100k11d Lead a team of Home Office Branch Managers to provide supervisory oversight and support to branches in the Supervisory Solutions program, ensuring regulatory compliance and protecting client interests.
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Regulatory Compliance Officer SylveraRemote 11d Embed and maintain governance arrangements for an authorized ESG rating provider under ESMA EU ESG Ratings Regulation, ensuring compliance with regulatory obligations.
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Sr Compliance Advisory Manager - Lending LendingClubSan Francisco, CA, US $115k–$155k11d Provide compliance advisory oversight across Happen Bank's Personal Lending products, managing risk from applicant sourcing through funding and servicing.
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Control, Risk and Compliance Analyst DesjardinsSainte-Anne-des-Monts 11d Monitor internal control systems, oversee operational risk, and ensure compliance with financial product distribution regulations and anti-money laundering laws.
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Head of Compliance Monitoring LendableLondon 11d Own Lendable's risk-based compliance monitoring programme and lead the team delivering independent second line assurance on legal and regulatory obligations for a UK FCA regulated consumer credit firm.
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Senior Manager, Data & Analytics Compliance, APAC LsegHKG-Hong Kong-ICBC Tower 11d Oversee the compliance framework for the Data & Analytics business across Asia-Pacific, providing advisory support to senior management and ensuring adherence to legal and regulatory obligations.
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Expert Compliance Risk Advisor (Remote) ExperianRemote 12d Guide the Financial Services and Data division through complex regulatory landscapes by assessing compliance risks, supporting regulatory exams, and leading practical solutions to enhance control effectiveness.
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Senior Compliance Manager Radius-LimitedCrewe, England, gb 12d Senior leadership role shaping and delivering the compliance programme, translating FCA regulations into business guidance, and overseeing monitoring and assurance activities.
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Country Manager - Germany WiseBerlin, de 12d Lead Wise's German branch operations, regulatory compliance, and market expansion to enable hyper-localized financial services for customers.
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Legal Consultant - GMSLA AxiomRemote 12d Draft, review, and negotiate Global Master Securities Lending Agreements (GMSLAs) and related trading/collateral documents for a Fortune 500 financial services client.
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Head of Compliance↗ Summit TalentSingapore, S00, SG 12d Oversee legal and compliance matters, advise management on transactions and regulatory issues, and manage risks for an investment firm.
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Program Coordinator 1↗ State of AlaskaJuneau, AK, US 12d Overseeing daily operations of state-wide financial licensing and registration programs (banking, securities, money transmission, mortgage, small loan) and supervising a team of five.
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Compliance Analyst NubankSão Paulo 12d Compliance Analyst supporting regulatory topics across payments, credit, credit cards, and Open Finance with a focus on Central Bank regulation.
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Senior Knowledge Lawyer- Financial Services Regulation- 12 month FTC NrfRemote 12d Senior knowledge lawyer supporting the Financial Services Practice by acting as a sounding board for legal issues, maintaining and drafting complex precedents and practice notes, and delivering training.
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Delegated Fund Management Oversight Manager MgpruRemote 12d Ensure compliance with External Fund Management Frameworks and oversee non-investment due diligence for sub-delegated portfolio managers and directly appointed managers.
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Senior Payments Counsel, Mexico RemitlyMexico City, Mexico 12d Senior legal counsel supporting Remitly's expansion and regulatory compliance across Latin America, focusing on Mexico.
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