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Legal & Compliance Jobs

Jobs

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Salary: $100,000 - $130,000 per year

Location: New York

Date Posted: June 23, 2025

Our client is seeking a Compliance Associate to join its boutique U.S. broker-dealer operation. This is a high-impact role within a small team focused on equity research distribution for institutional clients. As the principal compliance professional, you will be entrusted with shaping and refining the firm’s U.S. compliance program, working in close concert with senior leadership and gaining valuable exposure to international operations.
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Salary: $100,000 - $120,000 per year

Location: Newtown Township

Date Posted: June 10, 2025

Our client is seeking a discerning and diligent Private Equity Internal Assurance Associate to join a distinguished private investment firm located just outside Philadelphia. This position occupies a pivotal intersection between Compliance and Investor Relations, affording you the prospect of making a substantive contribution to internal controls, regulatory adherence, and investor transparency.
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Salary: $180,000 - $220,000 per year

Location: New York

Date Posted: June 9, 2025

Our client is seeking a distinguished legal professional to join the esteemed Legal and Compliance Team, providing comprehensive support to the U.S. registered fund business encompassing mutual funds, exchange-traded funds and closed-end funds. This position is particularly well-suited to an attorney who appreciates intellectual variety, values meaningful collaboration with business teams and clients, and excels in offering expert guidance on sophisticated investment management matters.
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Salary: $150,000 - $175,000 per year

Location: New York

Date Posted: June 6, 2025

Our client is seeking a highly qualified Quality Assurance Compliance Officer. This position is ideally suited to an individual who possesses a profound commitment to compliance and quality assurance, with particular expertise in Know-Your-Customer (KYC) protocols and anti-money laundering (AML) initiatives. The successful candidate will become part of a collegial and service-oriented team that values diverse perspectives and encourages the sharing of knowledge.
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Salary: $180,000 - $220,000 per year + $230,000 - $270,000

Location: New York

Date Posted: June 5, 2025

A distinguished global asset management institution is seeking an Associate General Counsel to join its esteemed legal department in New York, NY. The successful candidate will work in close partnership with two registered investment advisers, focusing on private equity fundraising and investments, while engaging collaboratively with business teams and clients at the most senior levels.
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Salary: $120,000 - $130,000 per year + $145,000 - $160,000

Location: New York

Date Posted: June 3, 2025

Our client is seeking a conscientious Control Room Associate to join its esteemed Compliance division. This appointment presents an unparalleled opportunity for you to contribute meaningfully to the maintenance of the highest standards of regulatory compliance and ethical integrity across a sophisticated, international platform. In the capacity of Control Room Associate, you will assume a central role in administering information barriers and managing conflicts of interest.
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Salary: $120,000 - $140,000 per year

Location: New York

Date Posted: June 2, 2025

Our client is seeking to appoint a Compliance Officer to its esteemed team. As an integral member of the compliance function, you will be entrusted with safeguarding the organization’s adherence to regulatory obligations and internal protocols, whilst engaging collaboratively with colleagues at all levels.
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Salary: $250,000 - $350,000 per year

Location: New York

Date Posted: May 21, 2025

Our client is seeking a seasoned and knowledgeable Head of Global Market Operations. This role is instrumental in guaranteeing the precise, compliant, and prompt daily processing of all business transactions and activities. It also involves strategic planning and change management to ensure that personnel and processes develop in harmony with evolving business and group strategies.
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Salary: $250,000 - $280,000 per year + $305,000 - $335,000

Location: New York

Date Posted: May 15, 2025

Our client is in search of an Associate General Counsel to undertake a key role within the Legal & Compliance Department, with a particular emphasis on the Private Wealth business. The successful candidate will have extensive experience in private wealth legal and compliance matters, demonstrate exceptional organizational skills, and possess superior written and oral communication abilities.
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Salary: $80,000 - $90,000 per year

Location: New York

Date Posted: May 2, 2025

Our client is seeking a Specialist in Compliance Testing to join their rapidly expanding team. This role is crucial to the company's Compliance Testing function, performing essential tasks such as compliance tests, root cause analyses, and assisting with remediation activities. The successful candidate will have the opportunity to work remotely, contributing to the development, implementation, and maintenance of the Compliance Testing program.