Regulatory Jobs in New York
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VP, Equities Surveillance
Vice President, Equities Surveillance OverviewOur client, a global investment bank, is seeking a Vice President to join its Trading and Surveillance team within the Compliance Department. The successful candidate will play a key role in reviewing surveillance reports, investigating potential rule or law violations, and providing compliance support ...
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...
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...
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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...
Head of Sanctions Payments
A large ecommerce platform is seeking an experienced compliance professional to lead the design and continuous improvement of the global sanctions program within a rapidly evolving digital payments environment. This role plays a central part in ensuring that products, services, and payment operations remain aligned with international regulatory exp...
VP Compliance Monitoring & Surveillance Manager
A top‑tier global banking group is seeking a Compliance Monitoring & Surveillance Manager to strengthen its Monitoring, Testing, and Surveillance capabilities across a rapidly evolving Capital Markets franchise. As the bank continues to grow its U.S. and global trading footprint, this is a strategically important hire responsible for building, exec...