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Sell-side Compliance Jobs

Jobs

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Salary: $80,000 - $115,000 per year + $95,000 -$115,000

Location: New York

Date Posted: August 12, 2024

Our client is seeking a Compliance Analyst to join their esteemed team. This role offers the flexibility to work remotely and is an exceptional opportunity for someone with experience in investment advisory firms or financial services' regulatory authorities. The successful candidate will assist in implementing and administering the ongoing oversight of the compliance program as required by Rule 206(4)-7 of the Investment Advisers Act of 1940 and other applicable regulatory obligations.
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Salary: $100,000 - $110,000 per year

Location: New York

Date Posted: July 30, 2024

Our client is seeking a highly skilled and experienced Audit Manager to join their team. The successful candidate will be responsible for conducting audits of financial records and controls, ensuring compliance with laws, regulations, and company policies. They will also oversee the development of internal audit policies and procedures, perform risk assessments, and manage external auditors during audits.
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Salary: $110,000 - $125,000 per year

Location: Virginia

Date Posted: July 24, 2024

Our client is seeking a Regulatory and Compliance Analyst who is highly organised, motivated, and has experience in legislative, regulatory or compliance fields.
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Salary: $180,000 - $220,000 per year + 15% - 20%

Location: New York

Date Posted: July 18, 2024

On behalf of our client, a rapidly expanding financial technology firm that operates an electronic money market trading platform and creates technological solutions for the world's leading financial institutions, we are seeking a Compliance Director. This role is pivotal in enhancing and scaling their compliance function as they continue to grow internationally. It offers the chance to oversee a function and prioritise the regulatory aspects of new products and jurisdictions.

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