13 SEC Regulatory Compliance jobs

Bengaluru, Karnataka, IN (Hybrid)

Some careers have more impact than others.

Smithfield, Rhode Island, US (On-site)

Fidelity will not provide immigration sponsorship for this position.

New York, US (Hybrid)

$120–210K / year

We are seeking someone to join our team as a Vice President that will provide Compliance Coverage for ISG Equity Sales and Trading.

Charlotte, North Carolina, US (On-site)

$76–156K / year

Position Overview At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve.

Dallas, Texas, US (On-site)

$77–116.8K / year

We're seeking someone to join our team as a U.S.

Manhattan, New York, US (On-site)

$185–300K / year

About this role: Wells Fargo is seeking a Compliance Director to serve as Head of Equities Compliance within Corporate & Investment Banking (CIB) Markets .

South Jordan, Utah, US (On-site)

The Central Review Unit Risk Officer is a member of the Central Review Unit (CRU) and is responsible for executing a comprehensive suite of controls…

Boca Raton, Florida, US (On-site)

The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions.

West Palm Beach, Florida, US (On-site)

The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions.

SG (On-site)

Work Location : Singapore, Singapore Hours: 40 Line of Business: Compliance Pay Details: We’re committed to providing fair and equitable compensation…

Dublin, IE (Hybrid)

Complying Monitoring Executive – Director (Equivalent of AVP) In the Legal & Compliance division, we assist the Firm in achieving its business…

Bengaluru, Karnataka, IN (On-site)

Who we are looking for: Looking for AML KYC / Screening professional who understand and perform Ongoing Sanctions, AML, PEP and Negative News…

New York, US (On-site)

$260–310K / year

Overview: Hughes Hubbard is looking for a Corporate Securities Associate to join our diverse corporate practice in NYC.