Skip to content
Wednesday, October 28, 2026 · Today’s edition, 6:30 a.m. ETWed, Oct 28 · 6:30 a.m. editionSign inMy Desk 0EditionsSign in

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.

  • 269 open roles
  • 102 firms
  • Checked daily
Filters:
  • RoleCompliance, risk and legal
Clear all
More filters1
Filters
Role
9 more
Seniority
2 more
Work mode
Location
7 more
Pay

Posted by the firm, never estimated

Firm assets

Form ADV

Firm size
Licenses
4 more
Clear all

102 firms

269 matching roles · sorted by most new this week

Showing US roles. See 77 international roles

Hartford Funds

Asset manager · Wayne, PA

Firm assets
Over $100B
People
250 to 1,000
Open roles
17 · 5 new
Firm profile

7 matching roles · 17 open in total

Legal Practices Support & Data Specialist

AssociateCompliance, risk and legal

Location not stated

$65K–$97K posted pay
Yesterday

Sr Staff Attorney - Subrogation

SeniorCompliance, risk and legal · JD

Brea · Remote

$132K–$199K posted pay
Yesterday

Sr Staff Attorney

SeniorCompliance, risk and legal · JD

Hunt Valley

$132K–$199K posted pay
2 days ago

+4 more at Hartford Funds
Firm assets
$10B to $100B
People
50 to 250
Open roles
59 · 4 new
Firm profile

4 matching roles · 59 open in total

Insurance Compliance Specialist

AssociateCompliance, risk and legal

Tampa, FL

5 days ago

Director, Compliance - MSI

Director or MDCompliance, risk and legal · JD

Remote

5 days ago

Remote

6 days ago

+1 more at The Baldwin Group Wealth Advisors

TD Private Client Wealth

Bank and trust · New York, NY

Firm assets
$1B to $10B
People
250 to 1,000
Open roles
20 · 3 new
Firm profile

3 matching roles · 20 open in total

Senior Compliance Business Oversight Manager - US Wealth

SeniorCompliance, risk and legal · Series 7, Series 63, Series 24

New York, NY

$124K–$186K posted pay
Yesterday

Senior Audit Manager - Technology - U.S. Corporate Functions

Director or MDCompliance, risk and legal

New York, NY

$124K–$201K posted pay
Yesterday

New York, NY

$200K–$280K posted pay
5 days ago

Hear first when these firms post

One email when there’s something new for Compliance, risk and legal · US roles. At most one a day.

U.S Bancorp Advisors

Bank and trust · Saint Paul, MN

Firm assets
$1B to $10B
People
250 to 1,000
Open roles
33 · 3 new
All roles

3 matching roles · 33 open in total

Financial & Regulatory Reporting Manager

MidCompliance, risk and legal · CFA, CPA

Milwaukee, WI

$112K–$131K posted pay
Yesterday

BL Regulatory Review Manager

MidCompliance, risk and legal

Milwaukee, WI

$112K–$131K posted pay
Yesterday

1940 Act Regulatory Administration Manager

MidCompliance, risk and legal

Milwaukee, WI

$98K–$116K posted pay
Yesterday

Guggenheim Partners Investment Management

Asset manager · New York, NY

Firm assets
Over $100B
People
250 to 1,000
Open roles
15 · 3 new
Firm profile

3 matching roles · 15 open in total

Attorney- Structured Products (Director)

MidCompliance, risk and legal · JD

New York, NY

$195K–$225K posted pay
2 days ago

Attorney - Restructuring

MidCompliance, risk and legal · JD

New York, NY

$135K–$145K posted pay
2 days ago

Attorney-Derivatives (Senior Associate)

MidCompliance, risk and legal

New York, NY

$150K–$160K posted pay
5 days ago

iCapital

Wealth-tech and platforms · New York, NY

Firm assets
Over $100B
People
250 to 1,000
Open roles
99 · 2 new
Firm profile

28 matching roles · 99 open in total

Regulatory Reporting - Vice President

SeniorCompliance, risk and legal

New York, NY +1

$150K–$175K posted pay
6 days ago

Regulatory Reporting - Vice President

SeniorCompliance, risk and legal

Greenwich, CT +1

$150K–$175K posted pay
6 days ago

ETF and 1940 Act Registered Funds Compliance Officer - Vice President

SeniorCompliance, risk and legal · Series 7, Series 24

Greenwich, CT +1

$150K–$180K posted pay
Oct 21

+25 more at iCapital

T. Rowe Price

Asset manager · Baltimore, MD

Firm assets
Over $100B
People
1,000 to 5,000
Open roles
98 · 2 new
Firm profile

10 matching roles · 98 open in total

Director, Regulatory Advisory Compliance

Director or MDCompliance, risk and legal · Series 7, Series 65, Series 24

Owings Mills, MD · Hybrid

$143K–$245K posted pay
Yesterday

Senior Legal Counsel – U.S. Registered Funds and ETFs

SeniorCompliance, risk and legal · JD

Owings Mills, MD · Hybrid

$145K–$247K posted pay
Yesterday

Sr. Manager, Legal & Regulatory Services

SeniorCompliance, risk and legal

Owings Mills, MD · Hybrid

$125K–$213K posted pay
Oct 12

+7 more at T. Rowe Price

Mercer Global Advisors

RIA · Denver, CO

Firm assets
$10B to $100B
People
1,000 to 5,000
Open roles
74 · 2 new
Firm profile

7 matching roles · 74 open in total

Paralegal (Estate Planning Specialist I)

MidCompliance, risk and legal

California +2

$32–$37/hr posted pay
5 days ago

Remote

$70K–$85K posted pay
6 days ago

Corporate Counsel II - M&A

MidCompliance, risk and legal · JD

Remote

$145K–$155K posted pay
Sep 5

+4 more at Mercer Global Advisors

Chartwell Investment Partners

Asset manager · Berwyn, PA

Firm assets
$10B to $100B
People
Under 50
Open roles
63 · 2 new
Firm profile

6 matching roles · 63 open in total

Florida

5 days ago

Senior Analyst, AML FCM Client Intelligence Unit

SeniorCompliance, risk and legal

Florida

5 days ago

IT Compliance Senior Manager

SeniorCompliance, risk and legal

Florida

Oct 18

+3 more at Chartwell Investment Partners
Firm assets
$1B to $10B
People
50 to 250
Open roles
9 · 2 new
Firm profile

3 matching roles · 9 open in total

Compliance Auditor

MidCompliance, risk and legal

Portland, OR +1

$29.20–$31.20/hr posted pay
6 days ago

Compliance Auditor

MidCompliance, risk and legal

San Francisco, CA +1

$27.58–$29.58/hr posted pay
6 days ago

Compliance Auditor

MidCompliance, risk and legal

Irvine, CA

$28.85–$31.35/hr posted pay
Jun 2

Show more firms

Every role comes from the firm’s own careers site and is checked there daily. You apply on the firm’s site; we never take applications or résumés. About the board

Private Wealth DailyThe morning edition

The private wealth industry in four minutes, every morning at 6:30 a.m. ET. Free.

Free. Every morning. Unsubscribe from any edition in one click.