Securities Compliance jobs (2,155)

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Ant International-Securities Compliance Senior Manager/Manager (Wealth Management - SFC Type 1, 4, 9)-LCAP HK

Ant Technology Group Co., Ltd.

Hong KongPermanent

Competitive

1 month ago

Senior Manager/ Manager Compliance - Securities Firm

Michael Page

Hong KongPermanent

CompetitivePromoted

18 days ago

Senior Compliance Officer - CIB Credit Compliance, TD Securities

TD Bank Group

New York, United StatesPermanent

Competitive

3 hours ago

Head of Legal and Compliance, Reputable Securities House

Capital Access Limited

Hong KongPermanent

HK$1m - HK$1m

2 days ago

Director, Equities Compliance Advisory - TD Securities (US)

TD Bank Group

New York, United StatesPermanent

Competitive

1 month ago

Trade Surveillance Associate - Equities/Exchange Traded Products (Compliance) - TD Securities (US)

TD Bank Group

New York, United StatesPermanent

Competitive

2 months ago

Legal & Compliance - Private Wealth Legal Group - Securities Attorney, VP (BREIT)

Blackstone

New York, United StatesPermanent

Competitive

3 months ago

Vice President, Private Wealth Compliance Officer (Securities) - SMBC

Sumitomo Mitsui Banking Corporation

SingaporePermanent

Competitive

2 days ago

Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US)

TD Bank Group

New York, United StatesPermanent

Competitive

2 months ago

Vice President, Compliance - Monitoring & Testing, TD Securities (US)

TD Bank Group

New York, United StatesPermanent

Competitive

2 months ago

VIE Compliance Officer - Securité Financière H/F

Crédit Agricole S.A.

Geneva, SwitzerlandPermanent

Competitive

3 months ago

VIE Compliance Officer - Securité Financière H/F

Indosuez Wealth Management

Geneva, SwitzerlandPermanent

Competitive

3 months ago

Director of SEC Reporting

Robert Half

Dallas, United StatesPermanent

DOE

3 days ago

Compliance/Risk Control Manager

Olive Asset Management

Palo Alto, United StatesPermanent

$18k - $22k

4 days ago

Legal Counsel, EMEA Health and Life Sciences (Oracle Health and Life Sciences, Legal)

Oracle

Berlin, GermanyPermanent

Competitive

7 hours ago