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Jobs: Compliance / Legal, USA

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Compliance / Regulatory, In-house Legal, Other

	USA, NY, CA, PA, TX, CT, DC, FL, IL, MA, MD, NJ, VT
	New York City, San Francisco, Los Angeles, Washington/Metro, Pittsburgh, San Antonio, Bala Cynwyd, Boston, Burlington, Chicago

1-30 of 56 Jobs

Company

Location

Date



	Chief Compliance Officer - Global Investment Advisor	Capstone Investment Advis... Salary: Salary plus Bonus	USA-NY-New York City	20 Nov
	Global Derivatives Fund is seeking seasoned CCO to join our New York City Headquarters Location.


	Syndication Specialist/Paralegal	RBC Salary: competative	USA-OH-Cleveland	20 Nov
	Syndication Specialist


	Institutional Brokerage Compliance Associate	Susquehanna International... Salary: Commensurate with experie...	USA-NY-New York City	20 Nov
	fixed income compliance corporate bonds


	Fixed Income Compliance Analyst	Morgan Stanley Salary: not disclosed	USA-NY-White Plains	20 Nov
	See job description below


	Alternatives Investment Group and Structured Investments Compliance	Morgan Stanley Salary: not disclosed	USA-NY-New York City	20 Nov
	See job description below


	Compliance Assessment - Analyst	Morgan Stanley Salary: not disclosed	USA-NY-New York City	20 Nov
	See job description below


	Equity and Prime Brokerage - Regulatory Oversight/Surveillance Officer	Morgan Stanley Salary: not disclosed	USA-NY-New York City	20 Nov
	See job description below


	Head of Operations Compliance	Morgan Stanley Salary: not disclosed	USA-NY-New York City	20 Nov
	See job description below


	Fixed Income Regulatory Oversight/Surveillance Officer	Morgan Stanley Salary: not disclosed	USA-NY-New York City	20 Nov
	See job description below


	Sales and Trading Compliance Strategic Projects Associate	Morgan Stanley Salary: not disclosed	USA-NY-New York City	20 Nov
	See job description below


	Head of Interest Rate and Currency Products Compliance	Morgan Stanley Salary: not disclosed	USA-NY-New York City	20 Nov
	See job description below


	Private Banking Compliance Officer	Credit Suisse Salary: Competitive	USA-NY-New York City	20 Nov
	PB Compliance Officer


	Investment Compliance Analyst	Wellington Management Com... Salary: Competitive	USA-MA-Boston	20 Nov
	Investment Compliance Analyst


	Compliance Associate	Not Disclosed Salary: competitive	USA-CT-Greenwich	19 Nov
	A mid-sized registered investment adviser in Greenwich Connecticut is seeking a compliance associate. The candidate should h...


	Compliance Officer - PIMCO (Newport Beach, CA)	PIMCO Salary: competitive	USA	18 Nov
	TITLE: Compliance Officer DEPARTMENT: Legal and Compliance – Regulatory Compliance PIMCO is seeking a Compliance Officer...


	Paralegal	PIMCO Salary: DOE	USA-CA-Santa Ana	18 Nov
	Pacific Investment Management Company (“PIMCO”) is looking for an Individual that will be responsible for assisting PIMCO’s a...


Compliance Assistant for Broker Dealer and related Registered Investment Advisor	Not Disclosed Salary: Full-time Permanent Posit...	USA-CT-Greenwich	18 Nov
Compliance assistant will assist CCO with all compliance and regulatory matters.


Fund Trade Compliance Officer	Michael Page Salary: 150,000-200,000	USA-NY-New York City	18 Nov
Leading Global Asset Manger is looking to add a mid to senior compliance officer with 4-8 years of experience handling a broa...


Attorney	PIMCO Salary: DOE	USA-CA-Santa Ana	17 Nov
PIMCO is a leading institutional money manager with more than $940 billion in assets under management. We are looking for...


Compliance Officer - Generalist Broker Dealer	Michael Page Salary: $80,000 - $120,000	USA-CT-Greenwich	17 Nov
Our client is a U.S. based brokerage firm with a well established global presence.


Employment Counsel at International Investment Bank	The Compliance Search Gro... Salary: Based on Experience	USA-NY-New York City	17 Nov
International Investment Bank seeks Employment Counsel to handle employee disputes and advise on employment law matters.


Derivatives Documentation Negotiator (LEGAL)	Deutsche Bank Salary: Exempt	USA-FL-Jacksonville	17 Nov
The qualified candidate MUST have experience with drafting and negotiating NY Law Agreements


Compliance Officer- Position Reporting AVP	Deutsche Bank Salary: competitive/ DOE	USA-NY-New York City	17 Nov
About Deutsche Bank A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do busines...


Compliance Advisory - Bank Regulatory and Corporate Trust	Deutsche Bank Salary: competitive/ DOE	USA-NY-New York City	17 Nov
About Deutsche Bank A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We’...


Compliance- Securities Surveillance and Investigations Analyst	Deutsche Bank Salary: competitive/ DOE	USA-NY-New York City	17 Nov
About Deutsche Bank A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. W...


Attorney / Legal Counsel	Lazard Asset Management Salary: Competitive - Commensurat...	USA-NY-New York City	17 Nov
Lazard Asset Mananagement seeks Attorney to support the Firm's products and activites. Primary focus will be on Alternative...


Compliance Administrator	Not Disclosed Salary: Competitive / DOE	USA-CA-Santa Barbara	17 Nov
Fixed income management firm seeks a motivated and experienced Compliance Administrator. The successful candidate is a skille...


Accounting Consultant	Objective Paradigm Salary: Contract	USA-IL-Chicago	16 Nov
Objective Paradigm is currently searching for a 2-4 year accounting professional for a major financial services firm based in...


Compliance Analyst III	BNY Mellon Asset Manageme... Salary: negotiable	USA-PA-Pittsburgh	16 Nov
The incumbent will assist the Compliance Manager with compliance monitoring and reporting for BNY Cash Investment Strategies...


Compliance Officer II	BNY Mellon Asset Manageme... Salary: negotiable	USA-MA-Boston	16 Nov
Headquartered in Boston, Standish is a leading investment management firm dedicated to serving sophisticated fixed income inv...

Jobs: Compliance / Legal, USA (1-30 of 56 Jobs)

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