Regulatory Jobs in New York

Senior Compliance Officer New York City | Hybrid | $175,000-225,000 Base SalaryOur client, a highly regarded financial services organization, is seeking a Senior Compliance Officer to step into a visible advisory role supporting institutional equities, foreign sales, and broker-dealer business activities. This is an opportunity to work directly wit...

A leading global wholesale bank is seeking a Regulatory Reporting Director to lead regulatory capital and financial reporting activities for its U.S. broker-dealer entity. This is a highly visible leadership position with significant exposure to executive management, Finance, Treasury, Risk, Compliance, Internal Audit, and regulators.The successful...

A growing investment management firm is seeking a Compliance Officer to support a broad range of regulatory, marketing, and advisory compliance initiatives. This individual will work closely with business leaders and serve as a key compliance partner on fundraising activities, product development, and firm-wide regulatory matters. This role will re...

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...

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...