Regulatory Jobs in New York
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Senior Compliance Associate, International Sales
Senior Compliance Associate, International Sales A global financial institution is seeking a Senior Compliance Associate to support its International Sales and Sales Trading functions. This role focuses on providing day‑to‑day compliance coverage for cross‑border equity activity, including review of international offerings, oversight of communicati...
Marketing Compliance Officer
A leading private credit and investment management firm is seeking an experienced Marketing Compliance Officer to join its New York team. This role is critical in ensuring all marketing and communications adhere to regulatory standards while supporting the firm's growth and client engagement strategies. In addition, the firm is close to registering...
Compliance Officer, Private Equity Firm
A $3B AUM private equity firm focused on technology investments is seeking a VP-level Compliance Officer to report to the General Counsel/Chief Compliance Officer. This role leads governance and advisory compliance across the firm, partnering with investment, operations, and portfolio value-creation teams to embed a culture of integrity and contro...
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AML Compliance Officer
A private credit and investment management firm in New York City is seeking a senior AML/KYC leader to serve as the firm's AML Compliance Officer and oversee all aspects of financial crime compliance. This role is responsible for directing the client onboarding program, managing regulatory due diligence, and ensuring full adherence to AML, BSA, and...
Surveillance Associate
Surveillance Associate - Global Investment Bank (Hybrid, NYC)Salary Range: $100,000 - $120,000Our client, a leading global investment bank, is seeking a Surveillance Associate to join its Compliance Department. This role is a key part of the Surveillance team, responsible for monitoring trading activity, investigating potential rule violations, and...
Trade Compliance Specialist
Key ResponsibilitiesPerform ITAR and EAR export jurisdiction and classification for hardware, software, and technical dataProvide export classifications to support licenses and agreementsConduct Customs classifications (HTS and Schedule B)Review and approve technical data transfers to international third partiesReview and approve information intend...