Corporate Governance Compliance
1,105 open positions
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Regional Supervision Manager AdvisorgroupAtlanta, GA, US $70k–$70k9d Review brokerage, advisory, and directly held transactions to ensure they are in the client's best interest and comply with firm policies.
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Lawyer- Retail Investment Services FcaLondon, GB $61k–$61k9d Advise on the application and effect of regulatory requirements and powers to ensure firms comply with all applicable rules, legislation and law within the retail investment services sector.
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Corporate Secretarial, Vice President, Attorney - Enterprise MsMumbai, India 9d Vice President managing corporate secretarial workflows, governance support, and entity lifecycle management for Morgan Stanley's Parent, Bank, and Subsidiary entities across the U.S., Canada, and Cayman Islands.
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Officier de conformité - Audit de Succursale IaQuebec, Quebec, CA 9d Conduct independent audits of registered branches and sub-branches across Quebec to ensure compliance with broker policies, procedures, and regulatory requirements, specifically OCRI Rule 500.
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Legal Counsel | Funds & VCC↗ Dadaconsultants Pte. Ltd.Singapore, S00, SG 9d Lead legal counsel for fund structuring, management, and governance for a MAS-regulated financial services group, including traditional private funds and digital asset products.
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Manager VialtoKuala Lumpur, Wilayah Persekutuan Kuala Lumpur, Malaysia 9d Manage corporate client portfolios and serve as the primary point of contact for immigration matters in Malaysia.
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Legal & Compliance Expert - São Paulo (Hybrid) ClaraSão Paulo 9d Legal & Compliance Expert strengthening Clara's capabilities in Brazil, handling corporate legal, regulatory compliance, AML/CFT, and privacy initiatives for a B2B fintech.
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Specialist, Compliance Monitoring Standard-Bank-GroupJohannesburg, GP, za 9d Conduct high-quality compliance reviews and drive the implementation of a combined assurance approach to ensure business adherence to regulations and best practices.
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Senior Corporate Counsel PayJoySan Francisco, CA 10d Strategic legal partner to Finance and Capital Markets teams, architecting corporate legal processes and governance frameworks to support market evolution and future milestones.
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Manager/Senior Manager - Reporting de durabilité - Banque - F/H PwCNeuilly-sur-Seine, FR 10d Manager/Senior Manager leading sustainability reporting expertise for the financial sector (banking or asset management), focusing on regulatory compliance and client advisory.
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Opportunité pour un Contrôleur/se Interne Junior Cross border- Banque privée Academic Work Switzerland SAKanton Genf, Schweiz 11d Junior Internal Controller supporting cross-border compliance monitoring and procedure adherence for a private bank.
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Ombudsman, Scams AfcaMelbourne, Victoria 11d Make fair, consistent, and timely binding decisions on standard and complex consumer complaints regarding banking, telecommunications, and digital platform sectors, often as part of a panel.
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Complaints Officer MUFG Pension & Market ServicesDocklands, Victoria 11d Investigate and resolve member, employer, and client complaints within a regulated financial environment, ensuring fair outcomes and compliance with legal obligations.
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Afdelingshoofd Bestuurlijke sancties, openbaarmaking & informatiedeling DriessenBinnenstad, Amsterdam $107k–$107k11d Leading a newly formed department within the Legal Affairs division of De Nederlandsche Bank (DNB) responsible for administrative sanctions, public disclosure, and information sharing.
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Equity Research Supervisory Analyst Btig27Remote 11d Edit and publish equity research reports for institutional investors, ensuring content is clear, fair, compliant, and accurately reflects investment theses and valuations.
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Trade Surveillance Analyst SchonfeldLondon 11d Operate and design the firm's trade surveillance programme to safeguard against market abuse and insider trading risks across multiple asset classes.
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Regulatory Compliance Officer EburyVilnius 12d Second line of defence role managing compliance with regulatory requirements, internal policies, and procedures for a global fintech firm.
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Compliance Officer 80-100 % BGP AGRemote 12d Ensure sustainable integration of regulatory requirements into the organization's processes and employee conduct, while advising, implementing directives, and monitoring compliance with legal and regulatory developments.
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Manager, Compliance Advisory (AU) Rado BankSydney, New South Wales 12d Provide expert compliance advice, conduct oversight, and support regulatory change initiatives to embed compliance obligations across the organization.
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Senior Associate - Financial Services, Superannuation & Investment Funds Clayton UtzSydney, New South Wales 12d Lead role advising on advisory and transactional matters across investment funds, superannuation, and financial services, spanning the full lifecycle from structuring to regulatory compliance.
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Resolutions Specialist - External Dispute Resolution Australia Retirement TrustBrisbane, Queensland 12d Support the assessment and resolution of escalated complaints, specifically those referred to external dispute resolution (AFCA), by researching complex superannuation and insurance issues and preparing evidence-based submissions.
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Manager, AFSL Compliance Western UnionSydney, New South Wales 12d Manage governance, oversight, and ongoing management of Western Union Australia's obligations under the Australian Financial Services License (AFSL) and other compliance frameworks.
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Compliance Advisory Manager ZipSydney, New South Wales 12d Provide practical, commercially balanced compliance advice to support Zip's regulatory obligations across Australia, enabling customer outcomes and business growth.
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Senior Manager, Compliance, UNITE Westpac GroupSydney, New South Wales 12d Provide independent compliance advice and support for Westpac's UNITE transformation program, ensuring regulatory obligations and risk controls are maintained during business-led tech-enabled changes.
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Legal counsel CoinJarMelbourne, Victoria 12d In-house legal counsel ensuring compliance obligations and providing regulatory guidance for product development and geographic expansion.
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Senior Legal Counsel Reserve Bank of AustraliaSydney, New South Wales 12d Provide sound legal judgment and advice on complex regulatory and legal issues for Australia's central bank, covering payments regulation, financial system resilience, financial markets, bank note issuance, transactional banking, and payment systems…
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金融合规专员 HuaweiShenzhen, China 12d Conduct daily financial compliance operations, assessments, and inspections for specific business areas and regions to support compliance officers.
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Compliance Analyst, Fidelity Clearing Canada FilToronto Office, CA $79k–$79k12d Assist the Compliance team with regulatory obligations, audit coordination, daily operational inquiries, and policy maintenance for a clearing broker and custodian.
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Director, Market Strategy & Research FinraNew York, NY (Job Posting), US $134k–$134k12d Lead proactive regulatory risk assessment and develop regulatory strategy for the Surveillance department to ensure market integrity and investor protection.
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Director, Legal - Product & Regulatory KohoRemote $220k–$220k12d Lead legal support for product development and regulatory strategy across KOHO Tech and KOHO Bank, enabling innovation while ensuring compliance with Canadian financial regulations.
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Director, Privacy Compliance CapitaloneMcLean, VA, US $187k–$187k12d Lead the Privacy team supporting Capital One Auto business, ensuring compliance with federal and state privacy laws and mitigating privacy risk.
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Student Worker | Financial Services NrfAmsterdam, Netherlands 12d Support lawyers in the Financial Services team by researching legal issues, drafting memos, and preparing presentations for regulatory matters and corporate transactions.
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Attorney – US Corporate Governance & Board Support GhrCharlotte, US $158k–$158k12d Provides legal counsel and manages corporate governance activities supporting the boards of Bank of America Corporation and its U.S. subsidiaries.
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SCUK Compliance & Reporting Manager SantanderRedhill, GB 12d Lead the Regulatory Engagement and Reporting team to shape compliance activities, oversee SMCR processes, manage regulatory change, and produce governance reporting for senior stakeholders.
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Corporate Paralegal NcrATLANTA, GA, USA 12d Support corporate governance and compliance functions by researching regulatory requirements, developing compliance programs, and managing legal entity records.
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Deputy Head of Compliance (Payments) Trading212Ireland 12d Senior compliance leader supporting the Head of Compliance in establishing and maintaining a robust compliance framework for a Central Bank of Ireland-regulated Payment Institution.
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Branch Oversight Manager SunlifeToronto, Ontario, CA $80k–$128k12d Lead, mentor, and develop a Branch Oversight Analyst team to conduct risk-based testing and reviews for Registered locations, ensuring compliant business practices and identifying trends in the Canadian Retail Advice and Solutions business.
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Manager, Business Compliance BmoToronto, ON, CAN 12d Provides regulatory compliance advice and direction to Wealth businesses, acting as the designated subject matter expert for 1st Line compliance and leading the Enterprise Compliance Program (ECP).
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