Legal and compliance jobs

We specialize in recruiting legal professionals from paralegals through to general counsels. Within compliance, our expertise covers regulatory compliance, front office markets compliance, monitoring and testing, electronic trading and core compliance roles. Our teams in New York are dedicated to placing legal and compliance professionals in mid to senior level roles within the top global financial services firms. 

Search Results

Compliance Officer

Salary: Negotiable

Location: New York

Date Posted: February 15, 2019

The Compliance Officer position acts as an intermediary between Portfolio Management, Trading, and Operations to ensure that orders and executions are compliant with all investment restrictions and the firm’s applicable policies and procedures.
Compliance Officer/Compliance Counsel

Salary: $110,000 - $130,000 per year

Location: San Francisco

Date Posted: February 15, 2019

Provide compliance monitoring support to the CCO/GC as part of the Legal & Compliance team. Working closely with the CCO/GC providing advice and guidance to the business in order to satisfy all external regulatory obligations and client contractual requirements. A solid understanding of the regulatory environment governing Investment Management and Private Equity is preferred as is prior work experience gained directly in the financial services industry.
Corporate Paralegal

Salary: Negotiable

Location: Palo Alto

Date Posted: February 15, 2019

Corporate Paralegal job with leading VC in Palo Alto.
Compliance Officer

Salary: Negotiable

Location: Santa Monica

Date Posted: February 15, 2019

A leading regional bank is currently in search of a Compliance Officer to lead the coporate compliance vertical providing advisory support to the buisness, implement/revamp policies and procedures, performing risk assessments, and provide staff training
Fixed Income Credit Compliance Officer

Salary: $140,000 - $160,000 per year

Location: New York

Date Posted: February 7, 2019

A well known capital markets firm is looking to add a fixed income compliance officer to their team. Legal and compliance backgrounds are welcome to apply.
Manager, Fraud and Privacy Compliance

Salary: $150,000 - $200,000 per year

Location: San Francisco

Date Posted: January 25, 2019

A prominent financial technology firm that specializes in blockchain technology is looking to recruit a compliance officer to look after their privacy and fraud compliance program. This individual will be a strong contributor to the firm and will work alongside key members of the firm.
Director of Compliance

Salary: Negotiable

Location: San Francisco

Date Posted: February 15, 2019

The Director of Compliance will be the focal point for all internal compliance activities and will work directly with the CCO and CFO in ensuring compliance with federal laws, directives, and regulations. This professional is responsible for managing, reviewing and evaluating all compliance-related issues within the organization. In addition, this role will take on legal document reviews in partnership with our lynchpin investing and operations teams.
General Counsel

Salary: Negotiable

Location: New York

Date Posted: February 8, 2019

A General Counsel position has become available, at an established Institutional Asset Manager, with its roots in New York City. The General Counsel will manage all aspects of the firms legal and compliance needs and day to day running and strategy for the firm. The firm concentrates on the management of alternative fixed income assets and other non-correlated assets, and will report to the CEO.
Client Protection Associate

Salary: Negotiable

Location: New York

Date Posted: February 4, 2019

A Client Protection Associate position has become available at a well-known global knowledge broker with regional hubs in Europe, the Americas, Asia and the Middle East. The company brings specialist knowledge distributed across hundreds of millions of professionals worldwide to bear on today’s most important business decisions. The corporation is a global leader in Knowledge Search, and this role has become available at its offices based in Midtown Manhattan.
IP Counsel

Salary: Negotiable

Location: New York

Date Posted: January 8, 2019

A Senior IP Counsel position has become available at one of the fastest-growing department store retailers in the world. In North America, this company’s leading banners include Lord & Taylor, Saks Fifth Avenue, Gilt, Saks OFF 5TH and Home Outfitters. The Senior IP Counsel will have primary responsibility for all IP matters so this this role offers outstanding experience for an Attorney who has expertise in the IP law field and keen to work in the highly competitive brand and retail space.