Banking Financial Services jobs in Banking & Financial Services - Compliance & Legal

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.

This job is 5 DAYS IN THE OFFICE. We are seeking a knowledgeable Financial Institution Consultant to join a fast-paced environment within the financial services industry. This temporary role in New York focuses on providing key legal support within the Fixed Income Division.

The VP - Compliance Technology Team Lead will oversee and manage compliance technology initiatives to ensure systems and processes align with regulatory requirements in the financial services sector. This role is a key leadership position, focusing on driving technology solutions and ensuring operational excellence within the compliance framework.

The Information Security & Compliance Leader will oversee and enhance the organization's security framework, ensuring compliance with regulatory requirements and safeguarding sensitive data. This role requires a strategic thinker with a strong understanding of risk management and security protocols within the technology and telecoms industry.

The AML Consultant will provide expertise and support in the Legal department within the Financial Services industry. This temporary position requires a professional with a solid understanding of legal processes and compliance within the industry. This contract is 5 DAYS IN THE MIDTOWN OFFICE.

We are seeking a detail-oriented Temp Fraud Analyst to join the online gambling industry. This temporary role involves identifying and preventing fraudulent activities within the organization.

Our client is seeking an entry level individual to join our Risk & Compliance team in the finance services industry. The ideal candidate will play a crucial role in maintaining compliance with regulatory requirements and ensruing the organization adheres to industry standards.

We are seeking a knowledgeable AML Consultant to join our team in the Financial Services industry. This temporary position involves supporting the Legal department with anti-money laundering compliance and related tasks.