Vice President, Compliance
Vice President, Compliance
Location: New York, NY | Hybrid
Compensation: $150,000-$200,000
Overview
We are seeking an experienced Vice President of Compliance to support compliance activities related to transactional oversight, information‑barrier management, and broader governance matters within a financial services environment.
This role works closely with business partners and senior stakeholders to ensure appropriate controls, documentation, and regulatory alignment across firm activities.
Responsibilities
Support the administration and ongoing maintenance of policies and procedures related to conflicts of interest and information management
Monitor transactional activity and coordinate with internal teams to ensure appropriate tracking and documentation
Conduct research related to issuers, securities, and transaction details to support materiality and confidentiality assessments
Review and support the execution of transaction‑related non‑disclosure agreements
Assist with the maintenance, enhancement, or migration of compliance monitoring tools, systems, and workflows
Use internal systems and external research tools to support compliance oversight and reporting
Track regulatory and industry developments and assist with internal guidance or policy updates
Contribute to a range of compliance initiatives, including reviews, reporting obligations, governance matters, and special projects
Provide ongoing support across core compliance functions such as monitoring, testing, codes of ethics, and internal controls
Qualifications
Juris Doctor (JD) required
5+ years of experience in compliance, legal, or regulatory roles within financial services or a similar institutional environment
Experience supporting transactional compliance processes and confidentiality protocols preferred
General understanding of financial products and institutional operations
Working familiarity with U.S. regulatory and compliance concepts, including management of confidential information
Strong communication skills and comfort working with senior professionals
High ethical standards, sound judgment, and a collaborative working style
FAQs
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