Regulatory Compliance Specialist in Financial Services

Job DescriptionSia Partners, a leading management consulting firm, is seeking a seasoned Regulatory Compliance Specialist to join our Financial Services practice. As a key member of our team, you will play a critical role in supporting our clients with regulatory remediation initiatives.Key ResponsibilitiesDevelop and Execute Regulatory Remediation Plans:...

About UsEstablished in 1999, Next Capital Management LLC is a distinguished, SEC Registered Investment Advisor dedicated to providing investment and advisory services tailored to high-net-worth individuals, families, trusts, and businesses through a multi-family office approach. Our mission is to create a personalized wealth management experience within a...

About UsEstablished in 1999, Next Capital Management LLC is a distinguished, SEC Registered Investment Advisor dedicated to providing investment and advisory services tailored for high-net-worth individuals, families, trusts, and businesses through a multi-family office approach. Our mission is to create a personalized wealth management experience in a...

Company OverviewSumitomo Mitsui Financial Group, Inc. (SMFG) is a leading global financial institution with a rich history spanning over 400 years. Headquartered in Tokyo, SMFG operates a diverse array of financial services, including banking, leasing, securities, credit cards, and consumer finance. With a workforce of over 80,000 employees across nearly 40...

Financial Reporting Specialist at Bank of ChinaWe are seeking a dedicated Financial Reporting Specialist to support our regulatory reporting initiatives within our U.S. branches. This role involves the meticulous preparation and submission of regulatory documents, ensuring adherence to compliance standards related to capital equivalency deposits and asset...

Job OverviewQuantbot, a leading firm in the finance sector, is in search of a diligent, proactive, and detail-oriented professional to enhance our compliance team. As a rapidly growing investment adviser, we pride ourselves on our commitment to maintaining the highest compliance standards.Key Responsibilities:The selected candidate will be tasked with...

Global Compliance is tasked with the critical function of identifying, mitigating, and managing compliance, regulatory, and reputational risks across the organization. This team is essential in reinforcing the firm's commitment to compliance by establishing robust controls, policies, and procedures. Acting as a vital second line of defense, Compliance...

CIFC ASSET MANAGEMENT OVERVIEWEstablished in 2005, CIFC Asset Management LLC (and its affiliates, collectively referred to as "CIFC") operates as a global credit management firm specializing in various sectors including CLOs, structured credit, corporate credit, opportunistic credit, and direct lending. With a focus on serving institutional investors...

Financial Reporting Specialist at Bank of ChinaWe are seeking a dedicated Financial Reporting Specialist to support our regulatory reporting efforts within our U.S. branches at Bank of China, a leading global financial institution. This role involves critical tasks such as the preparation and submission of regulatory reports, ensuring adherence to capital...

Quantbot Technologies LP is in search of a diligent, detail-oriented, and proactive individual to become a vital part of our compliance division within our expanding investment advisory firm.Key Responsibilities:The selected candidate will be tasked with the preparation of regulatory submissions, collaborating with compliance personnel to support various...

CIFC ASSET MANAGEMENT OVERVIEWEstablished in 2005, CIFC Asset Management LLC (and its affiliates, collectively referred to as "CIFC") operates as a global credit management firm, specializing in various sectors including CLOs, structured credit, corporate credit, opportunistic credit, and direct lending. With a focus on serving institutional investors...

The Lead Investigator is responsible for conducting thorough investigations across various Regulatory Compliance cases to establish comprehensive and factual investigative records. Less complex cases are managed with limited oversight from supervisory personnel. We are looking for a candidate with expertise in areas such as market structure, trading...

Job OverviewA prominent financial services organization is in search of a Financial Crime Compliance Specialist.Location: Not specifiedEmployment Type: Temporary-to-HireKey Responsibilities:• Gather and evaluate data, including alerts, transactions, customer profiles, and pertinent account details to detect potential suspicious activities.• Thoroughly...

Job DescriptionJob Title: Compliance AssociateCompany: Beacon Hill LegalLocation: Downtown ManhattanJob Type: Full-timeSalary: $140,000 - $170,000 per yearExperience: 4+ years in a regulated trading companyResponsibilities:Work with regulatory agencies to ensure compliance with relevant laws and regulationsDevelop and implement compliance programs to...

Company Overview:Golden Platter Foods, Inc. is a leader in the frozen food sector, merging traditional practices with modern innovations to produce beloved family meals. As a family-owned enterprise, we prioritize quality and adherence to regulations, ensuring our products consistently meet the highest standards. Join a vibrant team dedicated to excellence...

Innova Solutions is currently seeking a Senior Regulatory Compliance Specialist.Position Type:Full-time; Contract Duration: 12+ MonthsLocation:RemoteCompensation:$35 - $39/hr on W2Role Overview:As a Senior Regulatory Compliance Specialist, you will play a crucial role in supporting our ongoing projects. We are looking for a candidate who is eager to learn...

About Us: We are an inclusive employer committed to fostering a diverse workplace. As a proud member of myGwork, we support the LGBTQ+ business community and strive to create a welcoming environment for all. Role Overview: Our Legal & Compliance Department is integral to our global operations, addressing complex legal challenges and ensuring adherence to...

Company OverviewBruin is a prestigious family office, akin to a hedge fund, dedicated to maintaining high standards of compliance within the financial sector.Position SummaryWe are currently seeking a seasoned Senior Compliance Officer to enhance our New York operations. This role is pivotal in providing regulatory guidance for Equity Capital Markets (ECM)...

Immediate Opportunity | Market Compliance Risk AnalystPosition Title: Market Compliance Risk AnalystContract Duration: 06 Months (Potential for Extension/Conversion)Compensation Range: $80-$85/hr on w2Key Responsibilities:Support the implementation and evaluation of controls aimed at reducing the risk of non-compliance with regulatory standards, including...

HR Specialist Position at Phaxis - Financial ServicesWe are seeking a meticulous HR Specialist to enhance our human resources department. Below are the primary responsibilities associated with this position:Interpret and apply HR policies: Ensure that all HR policies and procedures are effectively communicated and adhered to.Support Talent Acquisition:...