Compliance Legal jobs

The Head of Legal & Compliance will provide expert legal, compliance and regulatory guidance within the lending sector, ensuring compliance and mitigating risk. This role is vital in supporting asset management and investment operations through sound legal advice and strategic counsel.

The Fixed Income Surveillance Temp will support the legal department in monitoring and analyzing fixed-income trading activities to ensure compliance with regulatory requirements and internal policies. This temporary role requires attention to detail, strong analytical skills, and a solid understanding of fixed-income products within the business services industry.

This role manages the full billing cycle for an assigned group of lawyers, ensuring invoices are accurate, compliant, and submitted on time. Responsibilities include overseeing e-billing, reconciliations, and dispute resolution, as well as managing unbilled inventory, monitoring receivables, recommending write-offs, and providing accurate financial reporting through tools like Excel and BRL dashboards.

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.

As a Paralegal in the retail space, you'll play a hands‑on role at the center of the business-driving compliance, supporting high‑impact legal matters, and partnering closely with cross‑functional teams in a fast‑moving, growth‑focused environment

The General Counsel will lead all legal and compliance matters, providing expert guidance on corporate governance, compliance, and risk management. This role requires a strategic thinker with hands-on approach to managing a small team, outside counsel and providing guidance on varied legal matters.