Compliance, risk and legal jobs in wealth management
Open compliance, risk and legal roles: chief compliance officer, compliance analyst, general counsel and legal and more, from each firm's own careers site.
119 open roles at 40 firms · updated 2 min ago
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Showing US roles. See 29 international roles
- Compliance, risk and legal
Guggenheim Partners Investment ManagementAsset manager
Attorney- Structured Products (Director)
New York, NY$195K–$225K posted pay
Pruco SecuritiesRIA
PGIM Credit, Asset Based Finance Surveillance Director
Newark, NJ · Hybrid$170K–$180K posted pay
Guggenheim Partners Investment ManagementAsset manager
Attorney - Restructuring
New York, NY$135K–$145K posted pay
Pruco SecuritiesRIA
PGIM - Vice President, Corporate Counsel (Tax) (Hybrid)
Plaza, NJ · Hybrid$208K–$313K posted pay
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Covers: Compliance, risk and legal · US roles
Hartford FundsAsset manager
Senior Staff Attorney Workers' Compensation
Morristown$132K–$199K posted pay
TD Private Client WealthBank and trust
AVP, Regulatory Issues Management, Governance and Control, TD Securities (US)
New York, NY$200K–$280K posted pay
Guggenheim Partners Investment ManagementAsset manager
Attorney-Derivatives (Senior Associate)
New York, NY$150K–$160K posted pay
Empower Advisory GroupBroker-dealer
Associate General Counsel - Personal Wealth Products
KS Remote · Remote$167K–$242K posted pay
iCapitalWealth-tech and platforms
Regulatory Reporting - Vice President
New York, NY +1$150K–$175K posted pay
iCapitalWealth-tech and platforms
Regulatory Reporting - Vice President
Greenwich, CT +1$150K–$175K posted pay
iCapitalWealth-tech and platforms
ETF and 1940 Act Registered Funds Compliance Officer - Vice President
Greenwich, CT +1$150K–$180K posted pay
iCapitalWealth-tech and platforms
ETF and 1940 Act Registered Funds Compliance Officer - Vice President
New York, NY$150K–$180K posted pay
iCapitalWealth-tech and platforms
Regulatory and Compliance, AML - Assistant Vice President
Salt Lake City, UT$85K–$110K posted pay
Voleon Capital ManagementAsset manager
Associate Corporate Counsel
Berkeley, CA · Remote$175K–$200K posted pay
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Covers: Compliance, risk and legal · US roles
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