Regulatory Jobs in New York
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Senior Compliance Officer #2 to CCO
AboutInternational financial services firm seeking a Senior Compliance Advisory Officer to support a FINRA-regulated broker-dealer and broader global business activities. This individual will serve as a key compliance partner to front-office and business stakeholders, providing practical regulatory guidance across U.S. securities laws, cross-border...
Compliance Testing Manager
A leading global investment bank is seeking an experienced Compliance Testing Manager to join its independent Compliance function. This individual will play a key role in assessing the effectiveness of the bank's compliance framework, evaluating regulatory controls, and providing independent assurance to senior management regarding compliance risks...
Director of Training & Knowledge Management
Director, Training & Knowledge ManagementLocation: Remote (U.S.)Compensation: $125,000 - $175,000 Base SalaryEmployment Type: Full-TimeAbout Our ClientOur client is a rapidly growing consulting firm focused on supporting private funds and other investment management organizations with regulatory, compliance, and operational advisory needs. As the f...
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Private Equity Compliance Manager
Private Equity Compliance ManagerLocation: RemoteCompensation: $130,000 - $150,000 + BonusA rapidly growing consulting firm specializing in private equity compliance, is seeking a Private Equity Compliance Manager to join its leadership team.Currently operating as a boutique platform, the firm is entering a significant growth phase with approximate...
Regulatory Reporting Specialist (CAT, TRACE, LOPR)
A technology-driven financial services firm is seeking a Regulatory Reporting Associate to join its Compliance function. This role is responsible for supporting the firm's U.S. regulatory reporting obligations, with a primary focus on CAT, TRACE, and Large Options Position Reporting (LOPR). Working closely with Compliance, Operations, Technology, ...
Compliance Officer
Investment Compliance OfficerLocation: New York City, NY (Hybrid) Compensation: $150,000 - $180,000 + BonusA leading institutional investment organization is seeking an experienced compliance professional to support its investment compliance program. This role offers broad exposure across regulatory compliance, investment advisory activities, and ...