Financial Services Regulatory and Compliance Associate Mid-Level
BCG Attorney Search
Job Overview A law firm seeks a mid-level Associate for the Financial Regulatory and Compliance Practice in Dallas, TX. This full-time position offers the opportunity to work with a diverse range of clients across various industries. Responsibilities Advise clients on financial services regulatory and compliance matters. Assist with licensing and chartering processes. Conduct legal research and analysis on financial regulations. Draft and review compliance-related documents. Collaborate with team members on complex legal issues. Requirements 3-5 years of experience in financial services regulatory and compliance. Knowledge of key financial services laws and regulations. Strong academic background with excellent research and writing skills. Admitted to or eligible for admission in the relevant jurisdiction. Fluency in Spanish preferred but not required. Education Juris Doctor (JD) degree from an accredited law school. Certifications Bar admission in the relevant jurisdiction. Skills Strong attention to detail and analytical skills. Proactive and team-oriented approach. Commitment to client service and responsibility. Benefits Health insurance with optional HSA. Short and long-term disability insurance. Dental and vision care. Life insurance. 401K plan. Vacation and sick time. Employee assistance program. Voluntary insurance programs. Commuter and transit programs in certain markets. #J-18808-Ljbffr BCG Attorney Search
$260k - $365k
...Traurig (GT), a global law firm, offers a full‑time mid‑level Associate position in the Financial Regulatory & Compliance Practice. The role can be based in any of our... ...The Associate will provide financial services regulatory and compliance support, including banking...SuggestedFull timeTemporary workFlexible hours- Job Overview A law firm seeks a Financial Regulatory Associate to join its team in Dallas. The role involves advising clients in the financial services sector on regulatory inquiries, compliance obligations, and product counseling across domestic and international markets...Suggested
$260k - $365k
...exciting full‑time employment opportunity for a senior level Associate in the Financial Regulatory & Compliance Practice. The position can be based in our Miami,... .... Qualifications Minimum of 6 years of financial services regulatory and compliance experience, particularly...SuggestedFull timeTemporary workWork at officeFlexible hours$260k - $365k
Greenberg Traurig, LLP is seeking a full-time mid-level Associate in their Financial Regulatory & Compliance Practice, based in Dallas or other cities. The role... ...providing regulatory support across various financial services, and candidates should have 3 to 5 years of...SuggestedFull time- ...opportunity to further align regulatory, governance, and enablement... ...with Business, Legal, Compliance, and Risk to translate requirements... ...a project preferred. Financial Services and function‑specific experience... ...to influence across levels, functions, and competing priorities...SuggestedWork experience placement
- ...Recruitment Expert Sr. IT Security Compliance Analyst Leading Central... ...internal controls, regulatory and legal requirements, policies... ...Green card holder. Seniority level Mid-Senior level Employment type... ...Information Technology Industries Services for Renewable Energy #J-1880...Full timeImmediate start
- ...A well-established financial services firm to support their search for a Compliance Specialist to join their Compliance team. The organization is known for its strong regulatory framework and disciplined compliance culture, and this role plays an important part in supporting...Work at office
- Greenberg Traurig, LLP is seeking a senior Associate for its Financial Regulatory & Compliance Practice. The role can be based in Miami, DC, New York, Chicago... ...candidates have at least 6 years in financial services regulatory and compliance, with licensing/chartering...
- ...OVERVIEWThe Senior Compliance Officer reports... ...adherence to external regulatory requirements and... ...a resource for associates by providing... ...requirements or financial risk concepts and... ...operational processes, and services related to the... ...nature and level of work only. They...Work at office
- A financial services firm is seeking a Compliance Specialist to support their Compliance team in Dallas, Texas. The role involves enhancing the Volcker Rule Compliance program, providing regulatory guidance, and maintaining compliance documentation. The ideal candidate...
- A financial services company is seeking a Compliance Officer responsible for ensuring effective policies and procedures. The role involves conducting on-site inspections, educating staff on regulatory issues, and resolving compliance failures. Candidates should have a...
- The Compliance Department is responsible for ensuring... ...electronic communications, regulatory requests and... ...the education of Firm associates with respect to regulatory... ...of two years financial service industry experience.... ...the general nature and level of work being performed...Full timeWork at officeHome office
- Regulatory Analyst, Life & Annuities Join to apply for the Regulatory... ...marketing materials to ensure compliance with state insurance... ...Word, PowerPoint) - advance level preferred. Advanced data analytics... ...disabilities. Seniority level Mid-Senior level Employment type...Full timeFixed term contractLocal area
- BCG Attorney Search is seeking a Financial Regulatory Associate to join their team in Dallas. This role involves advising clients in the financial services sector on regulatory inquiries and compliance across domestic and international markets. The ideal candidate has...
- Mohawk Industries seeks a Safety Coordinator to support safety policies and programs. This entry-level role focuses on maintaining safety compliance, creating detailed records, and assisting with safety audits across facilities. The ideal candidate holds a bachelor's degree...
- ## Human Resources Compliance SpecialistApplylocations:... ...policies, handbooks, and regulatory requirements firmwide.... ...firm or professional services experience required.*... ...corporate, energy, financial services, real estate,... ...each individual at every level has the opportunity to...Work at officeLocal area
$119k - $164k
...professionals. We partner with financial advisors nationwide,... ...We're hiring a Compliance Officer to serve as the... ...high-growth financial services environment, or a... ...programs are built. Regulatory expertise — Strong working... ...including experience, skill level, internal pay equity,...Full timeWork at officeImmediate start3 days per week- ...maintenance of business unit compliance processes, as well as... ...and senior leadership levels. Core... ...Broker/Dealer experience; Regulatory, compliance, investment... ...work for the long-term financial wellbeing of our clients... ...lead through product and services that transform our...
$115k
VP - Compliance / BSA Compliance Officer - Up to $115K... ...designed to ensure a high level of compliance with the... ..., and Federal regulatory expectations. The position... ...responsibilities and activities associated with the Bank Secrecy... ...with products and services offered by the Bank....Bank staff$19.63 - $33.13 per hour
...Customer Experience Associate Does working as part... ...ReSource Pro! ReSource Pro Compliance is looking for an... ...to join our customer service team (surplus lines).... ...related to insurance regulatory compliance, client intake... ...the role, experience level, skillset, geography,...Hourly payWork at officeLocal areaRemote work- A financial services company is seeking licensed Life Insurance Agents to conduct virtual retirement consultations and educate clients on tailored solutions. This fully remote role focuses on building trust-based client relationships without cold calling. Ideal candidates...Remote jobFlexible hours
- A global financial institution is seeking an experienced regulatory compliance professional to join a strategic Compliance Initiatives and Advisory team supporting... ...capital markets, broker-dealer, or related financial services activities. Excellent analytical, issue-...
- ...The candidate will handle US federal and international tax compliance and accounting responsibilities, ensuring that taxable transactions... ...degree and 2-5 years of relevant experience, preferably in Financial Services, are required. The role involves working collaboratively...
- Infosys is seeking a Regulatory reporting Business Analyst - In this role, you will interface... ...Proven years of experience in Financial Services industry, preferably Regulatory reporting... ...and contributions dependent on salary level EEO Infosys provides equal employment...Temporary workRelocation
$90.72k - $121.52k
...TX; Pennington, NJ Overview The Infosys Financial Services unit is a global leader in driving... ...Required Skills and Experience Experience in regulatory reporting, AML, capital markets,... ...and contributions dependent on salary level. EEO Infosys provides equal employment...Temporary workRelocation- ...where you matter. Position Overview The Compliance Specialist is responsible for assisting... ...the compliance audit program to ensure regulatory adherence, risk mitigation and operational... ...senior executives and staff members at all levels. Preferred Certifications: Certified...Local area
- ...Senior Regional Compliance Associate Hybrid - Irving, TX Company Description... ...team Support regulatory examinations, internal audits... ...Match ~5+ years of financial services experience in a compliance... ...conducting principal-level or OSJ supervisory review...Remote work
- ...Compliance Specialist We're not just a workplace - we're a Great Place to Work certified... ...Position Summary Are you passionate about regulatory compliance and making a real impact in... ...management of all organizational levels and functional counterparts Educational...Full timeContract workWork experience placementWork at officeLocal areaShift work
- ...Overview Compliance Officer to join a growing financial services platform operating across both a FINRA-registered broker-dealer and an SEC-registered investment... ...on suitability, conflicts of interest, and regulatory expectations Support compliance training and ongoing...Work at officeHome office
- ...opportunity employer. Responsibilities The Regulatory Analyst is responsible for independently performing core regulatory compliance services for the E&S Compliance Team. Reporting to... ...(e.g., ASLI, CPCU) or college‑level coursework – preferred. Minimum 1–3 years...Work at office
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