Regulatory Jobs in New Jersey
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VP, Equities Compliance
Vice President, Equities ComplianceOverviewOur 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 to ...
Vice President, Compliance
Vice President, ComplianceLocation: New York, NY | Hybrid Compensation: $150,000-$200,000OverviewWe 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 closel...
Director of Equities Compliance Advice
A leading wholesale banking institution is seeking a Director of Equities Compliance to provide senior‑level compliance advisory coverage to its equities sales and trading businesses. This is a high‑profile role supporting a broad equities platform, partnering closely with front‑office leadership, risk, legal, and governance teams to ensure the bus...
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Chief Compliance Officer, Hedge Fund
A well-established, boutique NYC hedge fund with a focus on credit strategies manages a suite of private funds and closed-end fund vehicles. The firm is seeking a hands-on Chief Compliance Officer to own, enhance, and continuously evolve the compliance program-partnering closely with the investment team, operations, and key service providers to mai...
Regulatory Initiatives Director
A leading wholesale bank is seeking a Director of Regulatory Initiatives to support the firm's response to regulatory remediation, supervisory feedback, and ongoing policy development impacting its wholesale and capital markets businesses.This role will sit at the intersection of regulatory change, remediation execution, and policy governance, acti...
Compliance Monitoring and Testing Associate
Monitoring & Testing AssociateHybrid - New York Compensation: $100,000 - $135,000OverviewA top bank is looking for a Monitoring & Testing Associate to support its Compliance Monitoring & Testing program. This role focuses on evaluating internal controls, identifying risks, and ensuring business activities align with regulatory expectations and inte...