Investment Compliance jobs

Found 3 jobs
  • Chief Compliance Officer New
    • Chicago
    • US$175000 - US$225000 per annum
    • Posted 30 minutes ago

    A rapidly growing Registered Investment Advisor is looking to bring on a new Chief Compliance Officer to their team. The ideal candidate will be someone who has 8+ years of experience working within a RIA, covering a variety of compliance matters and able to help build the framework at the firm. ...

    Save Job Apply Now Read More
  • Equities Compliance Associate - Top-tier Financial Institution
    • Hong Kong
    • HK$600000 - HK$600001 per annum
    • Posted 12 days ago

    CLIENT BACKGROUND We are looking for an experienced Equities Compliance Associate to join our compliance team. This role is ideal for candidates with a strong background in trade surveillance and a deep understanding of global market compliance. The successful candidate will ensure our equities t...

    Save Job Apply Now Read More
  • Business Compliance (OTC)
    • Hong Kong
    • HK$1200000 - HK$1200001 per annum
    • Posted 24 days ago

    BACKGROUND Our client is a top-tier Financial Institution in the APAC Region. Has a team of 3 and is looking for a candidate for OTC Business Compliance experience. JOB RESPONSIBILITY Monitor regulatory developments in OTC derivatives markets and assess their impact on the firm's trading activiti...

    Save Job Apply Now Read More

Get new jobs for this search by email