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This position serves as a senior compliance advisor supporting technology‑driven wealth management solutions and broker‑dealer oversight. The role works closely with product, business, and regulatory teams to evaluate new initiatives, strengthen compliance frameworks, and ensure adherence to applicable SEC and FINRA requirements.
This role oversees core components of the compliance program for several SEC‑registered investment advisers. The Director will advise senior leaders, guide policy development, support regulatory reviews, and help embed a proactive compliance culture across investment, product, and operational functions.
This role leads core components of the compliance program supporting a broad wealth management platform. The Director will oversee regulatory alignment, partner with leaders across the business, and guide monitoring, testing, product reviews, and governance activities. The position is ideal for an experienced compliance professional who excels in complex regulatory environments and can influence senior stakeholders.
The VP, Business Compliance Officer will strengthen the bank's Wealth Management compliance program. This position sits within a high‑visibility Risk & Compliance function and plays a key role in overseeing regulatory adherence, advising on new business activities, and shaping strong governance practices.
Sie besitzen eine ausgeprägte konzeptionelle Stärke und eine strategische Denkweise, gepaart mit Geschäftssinn und einem „Business-enabling"-Mindset? Sie möchten in einer verantwortungsvollen Rolle mit Impact & Gestaltungsraum arbeiten und als Group-MLRO die europäische Wachstumsstrategie aus AML-Perspektive mitgestalten? Dann könnte dies der perfekte nächste Karriereschritt für Sie sein!
Director of EU Government Affairs (France, Belgium, and Luxembourg -FBL) for a global financial services firm bases in Paris
La persona seleccionada se encargará de la gestión integral de riesgos del banco, garantizando que todas las tipologías -crédito, liquidez, mercado, operacional, tecnológico, ciber, cumplimiento y reputacional- se encuentren adecuadamente identificadas, medidas, monitorizadas y gestionadas.
Role snapshotAs the Head of Compliance for our China entity, you will act simultaneously as strategic radar and execution engine-anticipating regulatory shifts before they happen and embedding policies, processes, tools and culture that let the business scale confi-dently and compliantly.
The CEO shall be the overall in charge for the management of the business and affairs of the Bank based on the strategic direction and risk appetite crafted with and approved by the Board of Directors. As such he is accountable for ensuring that the Bank's vision, mission and strategic imperatives are met, while championing the desired conduct, behavior, culture and values of the Bank.
We are partnering with an established UK investment platform to appoint a Director of Wholesale & Speciality Finance as part of its continued growth. The platform provides structured funding to specialist lenders and alternative credit strategies and is looking to strengthen execution capability at Director level
An iconic, global brand in the premium consumer products sector is seeking an experienced Managing Director, ANZ to lead its Australian and New Zealand operations. With a long heritage, exceptionally loyal customers, and a reputation for engineering excellence, the business sits at the top end of its category and continues to innovate across product, sustainability and customer experience.
The Director of Marketing leads our marketing efforts and the Marketing Team, driving measurable growth for our organization. This role requires a strategic leader with deep expertise in direct response and direct-to-consumer marketing and a proven track record of delivering ROI-focused campaigns that generate immediate, trackable results.
Top investment bank has an opening for an entrepreneurial Senior Counsel to provide legal and regulatory support with a focus on swaps, FX, rates, credit, derivatives, high-yield, distressed trading, electronic trading, and related initiatives.
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