William Blair & CompanyBroker-dealer
Compliance Analyst – Trade Surveillance
Chicago, IL · Hybrid$100K–$115K posted pay
Today
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.
29 open roles at 16 firms · updated 13 min ago
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Pruco SecuritiesRIA
PGIM Credit, Asset Based Finance Surveillance Director
Newark, NJ · Hybrid$170K–$180K posted pay
Yesterday
Pruco SecuritiesRIA
PGIM - Vice President, Corporate Counsel (Tax) (Hybrid)
Plaza, NJ · Hybrid$208K–$313K posted pay
Yesterday
Cim Capital Sa ManagementRIA
1st Vice President, Compliance (OFS)
Chicago, IL · Hybrid$200K–$270K posted pay
Oct 16
Wilmington Trust Investment AdvisorsRIA
Assistant General Counsel - Special Assets/Workout (Hybrid - see potential locations in job description)
Buffalo, NY · Hybrid$140K–$233K posted pay
Oct 14
MFS Institutional AdvisorsRIA
Enterprise Risk Business Partner
Boston, MA · Hybrid$110K–$159K posted pay
Oct 14
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T. Rowe PriceAsset manager
Sr. Manager, Legal & Regulatory Services
Owings Mills, MD · Hybrid$125K–$213K posted pay
Oct 12
Fairfield Realty AdvisorsReal estate investment manager
Construction & Development Counsel
San Diego, CA · Hybrid$190K–$220K posted pay
Oct 11
Fairfield Realty AdvisorsReal estate investment manager
Associate General Counsel - Litigation
San Diego, CA · Hybrid$250K–$280K posted pay
Oct 11
T. Rowe PriceAsset manager
Senior Manager, Investment Compliance
Baltimore, MD · Hybrid$110K–$188K posted pay
Oct 7
T. Rowe PriceAsset manager
Sr. Manager, Global Financial Crimes Compliance
Owings Mills, MD · Hybrid$110K–$188K posted pay
Oct 6
T. Rowe PriceAsset manager
Legal Counsel Retail Advisory Services
Owings Mills, MD · Hybrid$145K–$247K posted pay
Oct 6
EP Wealth AdvisorsRIA
Compliance Analyst - Torrance, West LA, San Francisco, Walnut Creek, Phoenix, Philadelphia, Boston (Hybrid)
Torrance, CA +7 · Hybrid$78K–$105K posted pay
Oct 6
T. Rowe PriceAsset manager
Managing Legal Counsel - Litigation
Owings Mills, MD · Hybrid$174K–$297K posted pay
Oct 4
Oct 1
Trustage Investment ManagementAsset manager
Consultant I, Regulatory Privacy Compliance (Hybrid)
Madison, WI · Hybrid$91K–$137K posted pay
Oct 1
Trustage Investment ManagementAsset manager
Consultant III, Privacy Program Compliance (Hybrid)
Madison, WI · Hybrid$115K–$172K posted pay
Oct 1
Trustage Investment ManagementAsset manager
Consultant I, Compliance (Hybrid)
Madison, WI · Hybrid$83K–$125K posted pay
Sep 17
Sep 15
Trustage Investment ManagementAsset manager
Senior Counsel, Transactions (Hybrid)
Madison, WI · Hybrid$136K–$203K posted pay
Sep 10
Aug 30
Aug 14
Oha Private Credit Advisors IIPrivate credit
Compliance Analyst
New York, NY +1 · Hybrid$90K–$110K posted pay
Jul 9
Trustage Investment ManagementAsset manager
Counsel, Commercial Transactions (Hybrid)
Madison, WI · Hybrid$112K–$168K posted pay
Jun 21
Primerica AdvisorsBroker-dealer
Securities Compliance Officer - AML & Elderly/Vulnerable Specialist
Hybrid$90K–$95K posted pay
Jun 1
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Covers: Compliance, risk and legal · Hybrid · Pay posted · US roles
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