Remote Securities Regulation Jobs

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Raymond James
Field Supervision Manager
Today

Raymond James - Financial Services - XLarge

New
Remote from
United States
Full time

Senior (5-10 years)

Risk Management
Securities Regulation
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Marshall Graham LLC
Senior Corporate Transactions Attorney
3 days ago

Marshall Graham LLC - Human Resources, Staffing & Recruiting - TPE

Remote from
New York (USA)
Full time

Senior (5-10 years)

Raising Capital
Private Placement
Securities Regulation
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Crux
Lead People Partner, Commercial
7 days ago

Crux

Remote from
District of Columbia (USA), Oregon (USA)
Full time

Senior (5-10 years)

3 - 3K
Strategic Partnership
Executive Coaching
Performance Management
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Dauntless Discovery
Attorney - Corporate Associate
7 days ago

Dauntless Discovery

Remote from
New York (USA)
Full time

Senior (5-10 years)

Securities Regulation
Initial Public Offering
Financial Market
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TD Securities
Senior Analyst, Financial Crimes Transaction Screening Capabilities and Oversight
30+ days ago

TD Securities

Remote from
Florida (USA), Illinois (USA), New York (USA) +2
Full time
72 - 117K
High Throughput Screening
Principal Financial Group
Home Office Supervision Manager
7 days ago

Principal Financial Group - Financial Services - XLarge

Remote from
Iowa (USA)
Full time

Expert & Leadership (>10 years)

Securities Regulation
Broker Dealers
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Blue Prism
Head of Digital Assets/Tokenization - US
30+ days ago

Blue Prism - Computer Software / SaaS - XLarge

Remote from
Connecticut (USA), Delaware (USA), Illinois (USA) +7
Full time

Senior (5-10 years)

175 - 195K
Digital Asset Management
Smart Contracts
Text Manipulation
Second Talent
Senior Consultant / Consultant, Consulting Services (Corporate Governance)
30+ days ago

Second Talent

Remote from
Malaysia
Freelance
3 - 7K
Auditing
Regulatory Compliance
Corporate Governance
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Woven by Toyota
Head of Legal, Woven Capital
13 days ago

Woven by Toyota - Large

Remote from
Canada, California (USA), Michigan (USA) +2
Full time

Expert & Leadership (>10 years)

Business Negotiation
Deal Structuring
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Principal Financial Group
Regional Supervision Manager (East Coast)
7 days ago

Principal Financial Group - Financial Services - XLarge

Remote from
Iowa (USA)
Full time

Expert & Leadership (>10 years)

Securities Regulation
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Capital Bank, N.A.
VP, Enterprise Risk Management
30+ days ago

Capital Bank, N.A.

Remote from
Maryland (USA)
Full time
5 - 155K
Enterprise Risk Management (ERM)
Risk Management
Operational Risk Management
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DTEX Systems
Enterprise Sales Director - NJ/PA
19 days ago

DTEX Systems - SME

Remote from
New Jersey (USA), Pennsylvania (USA)
Full time

Expert & Leadership (>10 years)

Performance Analytics
Software Sales
Enterprise Sales
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Thrivent
Broker Dealer and Investment Advisor Lending Manager
9 days ago

Thrivent - Financial Services - XLarge

Remote from
Minnesota (USA)
Full time
Securities Regulation
Policy Governance
Underwriting
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ASAAS
Analista de Auditoria Interna Sênior - Foco em Financeiro/Contábil
12 days ago

ASAAS - Fintech: Finance + Technology - SME

Remote from
Delaware (USA)
Full time

Entry-level / graduate

Auditing
SOX Testing
Internal Controls
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Canoe
Account Executive, Wealth Management
30+ days ago

Canoe - Financial Services - Scaleup

Remote from
Japan, Singapore, Ireland
Full time

Senior (5-10 years)

245 - 260K
Wealth Management
Financial Sales
Sales Pipelines
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State Farm
Sales Leader- New York Queens Sales Territory
29 days ago

State Farm - Insurance - XLarge

Remote from
New York (USA)
Full time
200 - 402K
Sales Management
Sales Management
Sales Management
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Human Agency
AI Registered Financial Advisor - San Francisco
16 days ago

Human Agency - Startup

Remote from
California (USA)
Full time

Senior (5-10 years)

Customer Acquisition Management
Portfolio Management
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Edward Jones
Sr. Workplace Compliance Advisor
30+ days ago

Edward Jones - Financial Services - XLarge

Remote from
Arizona (USA)
Full time
Regulatory Compliance
Securities Regulation
Compliance Management
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Finalis
Delivery Analyst
23 days ago

Finalis - Investment Banking - Scaleup

Remote from
Argentina
Full time

Mid-level (2-5 years)

Securities Regulation
Operational Due Diligence
Legal Document Management
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DTEX Systems
Enterprise Sales Director - Utah
19 days ago

DTEX Systems - SME

Remote from
Utah (USA)
Full time

Expert & Leadership (>10 years)

Enterprise Sales
Consultative Selling
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Foundever
Career Opportunities: Financial Brokerage Operations Service Specialist - Work From Home (410564)
5 days ago

Foundever - Management Consulting - Large

Remote from
Utah (USA)
Full time

Junior (1-2 years)

Brokerage
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Corebridge Financial
Financial Advisor - Charles County, MD
5 days ago

Corebridge Financial - Financial Services - XLarge

Remote from
Maryland (USA)
Full time

Mid-level (2-5 years)

Financial Management
Retirement Planning
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Western Alliance Bank
Underwriter - IV
12 days ago

Western Alliance Bank - Banking - Large

Remote from
Georgia (USA)
Full time

Senior (5-10 years)

Underwriting
Underwriting
Federal Lending
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Aprio
Corporate Attorney, Business Transactions
30+ days ago

Aprio - Accounting - Large

Remote from
New York (USA), Washington (USA)
Full time

Senior (5-10 years)

Corporate Governance
Corporate Laws
Mergers And Acquisitions
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TD Securities
Manager, Financial Crimes Transaction Screening Capabilities and Oversight
30+ days ago

TD Securities

Remote from
New York (USA)
Full time

Senior (5-10 years)

91 - 145K
Economic Sanctions
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BB&T
Equity Research Associate - Supervisory Analyst
28 days ago

BB&T - Financial Services - XLarge

Remote from
North Carolina (USA)
Full time

Senior (5-10 years)

160 - 160K
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Vesta Wealth Partners Ltd.
Bilingual Client Onboarding & Servicing Associate (French/English)
30+ days ago

Vesta Wealth Partners Ltd.

Remote from
Canada
Full time

Mid-level (2-5 years)

60 - 80K
Account Management
Client Services
Client Services
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Blue Prism
Head of Digital Assets/Tokenization - US
30+ days ago

Blue Prism - Computer Software / SaaS - XLarge

Remote from
Connecticut (USA), Delaware (USA), Illinois (USA) +7
Full time

Senior (5-10 years)

175 - 195K
Digital Asset Management
Smart Contracts
Text Manipulation
Carrie Rikon & Associates, LLC
FinTech & Regulation Law Partner - Must Have 400K Book of Business and Currently Work at a Law Firm
18 days ago

Carrie Rikon & Associates, LLC - Human Resources, Staffing & Recruiting - TPE

Remote from
Austria
Full time
Financial Law
Business Development
Financial Regulations
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Eraneos
Senior Consultant/ Manager Financial Services - Regulatory & Compliance (all genders)
30+ days ago

Eraneos - Large

Remote from
Germany
Freelance

Senior (5-10 years)

Financial Risk Management
Regulatory Compliance
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KateWorthington
Head of Compliance (Attractive compensation package)
30+ days ago

KateWorthington - Human Resources, Staffing & Recruiting - Small startup

Remote from
Thailand
Full time

Expert & Leadership (>10 years)

19 - 23K
Regulatory Compliance
Risk Management
Regulatory Compliance
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Karatzas & Partners
Experienced Lawyer in Financial Regulation and Capital Markets Law
30+ days ago

Karatzas & Partners

Remote from
Greece
Full time
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Kraken
Regulatory MiFID Officer (Cyprus)
30+ days ago

Kraken - Fintech: Finance + Technology - SME

Remote from
Cyprus
Full time

Mid-level (2-5 years)

Anti Money Laundering
Regulatory Compliance
MiFi
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Principal Financial Group
Regional Supervision Manager (Midwest)
7 days ago

Principal Financial Group - Financial Services - XLarge

Remote from
Iowa (USA)
Full time

Expert & Leadership (>10 years)

Securities Regulation
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Sei Labs
Deputy General Counsel
30+ days ago

Sei Labs - Information Technology & Services - Startup

Remote from
New York (USA)
Full time

Senior (5-10 years)

0 - 5K
Securities Regulation
Legal Strategy
Payment Plan Agreements
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M0
Senior Counsel
30+ days ago

M0

Remote from
New York (USA)
Full time
Contract Management
Regulatory Compliance
Corporate Laws
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Raytheon Technologies
Senior Manager, Technical Accounting and Policy
20 days ago

Raytheon Technologies - XLarge

Remote from
Colorado (USA)
Full time

Senior (5-10 years)

132 - 251K
Securities Regulation
Joint Ventures
Revenue Recognition
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Eraneos - powered by Ginkgo
Senior Consultant/ Manager Financial Services - Regulatory & Compliance (all genders)
30+ days ago

Eraneos - powered by Ginkgo - Large

Remote from
Germany
Freelance

Senior (5-10 years)

Financial Risk Management
Securities Regulation
Regulatory Compliance
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PEOPLE PROFILERS
Senior Compliance Officer/Compliance Specialist
30+ days ago

PEOPLE PROFILERS

Remote from
Thailand
Full time

Senior (5-10 years)

Securities Regulation
Compliance Management
Company Administration
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Meeder Investment Management
Director, National Accounts
30+ days ago

Meeder Investment Management

Remote from
Ohio (USA)
Full time
Product Marketing
Operational Excellence
Business Strategies
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Yorktown Search Partners
Chief Legal Officer / Head of Legal Advisory
30+ days ago

Yorktown Search Partners

Remote from
Canada
Full time
Contract Management
Private Investment In Public Equity
Corporate Governance
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Acorns
Sr. Manager, Compliance
30+ days ago

Acorns - Financial Services - Scaleup

Remote from
Suriname
Full time

Senior (5-10 years)

13 - 170K
Regulatory Compliance
Risk Management
Compliance Management
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Canoe
Account Executive, Family Offices and Accounting Firms
30+ days ago

Canoe - Financial Services - Scaleup

Remote from
Japan, Singapore, Ireland
Full time

Senior (5-10 years)

245 - 260K
Ledger Applications
Financial Sales
Alternative Investments
View Similar Jobs →
CrowdStrike
Sr. Lead Counsel, Corporate (Remote)
2 days ago

CrowdStrike - Cybersecurity - Large

Remote from
United States
Full time

Senior (5-10 years)

Securities Regulation
View Similar Jobs →
Groma
Legal Intern
30+ days ago

Groma - Real Estate Management & Development - Startup

Remote from
Kentucky (USA), Massachusetts (USA)
Internships
Digital Asset Management
Real Estate Law
Securities Regulation
Arrived
Fund Accounting Manager -Joint Ventures & Private Credit at Arrived
13 days ago

Arrived - Financial Services - Scaleup

Remote from
Austria, Washington (USA)
Full time

Senior (5-10 years)

Partnership Accounting
Joint Venture Accounting
Public Accounting
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Raymond James
Senior Advisor, Compliance PCG Branch Exams
30+ days ago

Raymond James - Financial Services - XLarge

Remote from
United States
Full time
80 - 95K
Securities Regulation
Health Risk Assessments
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Alliance Laundry Systems Distribution
Associate General Counsel
16 days ago

Alliance Laundry Systems Distribution - Retail (Super / Hypermarket) - SME

Remote from
Wisconsin (USA)
Full time

Senior (5-10 years)

Contract Management
Corporate Accounting
Corporate Governance
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Northwestern Mutual
Investment Client Srvcs Analyst (S7/63) - Remote
15 days ago

Northwestern Mutual - Financial Services - XLarge

Remote from
Wisconsin (USA)
Full time

Senior (5-10 years)

Investment Account Management
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Omada Health
Senior Corporate Counsel
6 days ago

Omada Health - Health Care - SME

Remote from
United States
Full time

Senior (5-10 years)

Securities Regulation
Corporate Governance
Compensation Analysis
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