Regulatory Jobs in New York

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...

Director - Control Room Compliance (Capital Markets)Our client, a global investment bank with a strong presence across major financial centers, is seeking an experienced compliance professional to lead its Control Room team within the Capital Markets Compliance function. This leadership role is pivotal in managing the firm's information barrier fra...

Financial Crimes Compliance Lead - Wealth ManagementOur client is a global investment bank with a strong North American footprint, offering integrated wealth management services through both broker-dealer and registered investment adviser platforms. They are seeking a seasoned Financial Crimes Compliance Lead to oversee and enhance the Anti-Money L...

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 ...

My client is a Publicly-Traded Commercial Stage Biopharma Company that is seeking an experienced Compliance professional to drive the evolution and execution of the Compliance Program. The Company is poised for considerable growth having launched a first-in-class drug with a growing pipeline.Position Summary: The Executive Director of Compliance wi...