Regulatory Compliance, VP/SVP
1 week ago
Regulatory Compliance VP (M&A Advisory Boutique)
Location: New York. NY (hybrid)
Overview:
We are recruiting for an experienced senior regulatory compliance professional to join an M&A Advisory Boutique. This role requires deep expertise in SEC and FINRA regulatory requirements, alongside the ability to provide comprehensive analysis and strategic recommendations in complex scenarios. The ideal candidate will thrive in a dynamic environment, offering mentorship to junior staff while navigating evolving regulations.
Title & Salary is flexible and dependent on experience.
Key Responsibilities:
- Conduct thorough analysis and provide recommendations on regulatory scenarios, such as preclearance requests for Outside Business Activities (OBA), Personal Securities Transactions (PST), and rule changes or new regulatory guidance.
- Ensure the firm’s compliance with SEC and FINRA requirements.
- Stay updated on new regulations and assess their firmwide impact, driving necessary policy adjustments.
- Serve as a mentor and coach for junior compliance teams, providing guidance and support in professional development.
- Collaborate with senior leadership on regulatory strategy and decision-making.
- Support the firm’s broader compliance efforts by ensuring best practices are followed and regulatory risks are mitigated.
Qualifications:
- Extensive experience with SEC/FINRA regulatory requirements, ideally within an M&A or advisory boutique environment.
- Strong analytical skills with the ability to assess complex scenarios and offer clear, actionable recommendations.
- Previous supervisory experience with a focus on mentoring and developing junior team members.
- Legal or regulatory background preferred
For more information, please contact chase.scottland@jcwresourcing.com
-
Regulatory Change Expert – VP/SVP
2 weeks ago
New York, United States Motion Recruitment Full timeJOB Details: Job title: Regulatory Change Expert – VP/SVPDuration: 12+ Months Location: New York, NY (Hybrid – 3 Days onside)Top Requirements• Tier 1 Bank or Big 4 Experience• Regulatory change or transformation work• Ability to lead a workstream• Good stakeholder managementPrimary Responsibilities: • Transformation/change management / PMO...
-
Regulatory Change Expert – VP/SVP
2 weeks ago
New York, United States Motion Recruitment Full timeJOB Details: Job title: Regulatory Change Expert – VP/SVPDuration: 12+ Months Location: New York, NY (Hybrid – 3 Days onside)Top Requirements• Tier 1 Bank or Big 4 Experience• Regulatory change or transformation work• Ability to lead a workstream• Good stakeholder managementPrimary Responsibilities: • Transformation/change management / PMO...
-
Regulatory Compliance, VP/SVP
1 week ago
new york city, United States JCW Full timeRegulatory Compliance VP (M&A Advisory Boutique)Location: New York. NY (hybrid)Overview:We are recruiting for an experienced senior regulatory compliance professional to join an M&A Advisory Boutique. This role requires deep expertise in SEC and FINRA regulatory requirements, alongside the ability to provide comprehensive analysis and strategic...
-
Regulatory Compliance, VP/SVP
1 week ago
New York, United States JCW Full timeRegulatory Compliance VP (M&A Advisory Boutique)Location: New York. NY (hybrid)Overview:We are recruiting for an experienced senior regulatory compliance professional to join an M&A Advisory Boutique. This role requires deep expertise in SEC and FINRA regulatory requirements, alongside the ability to provide comprehensive analysis and strategic...
-
Legal & Compliance (M&A Boutique)
2 days ago
new york city, United States JCW Full timeLegal & Compliance, AVP/VP/SVP (M&A Advisory Boutique)Location: New York. NY (hybrid)Overview:We are recruiting for an experienced senior regulatory compliance professional to join an M&A Advisory Boutique. This role requires deep expertise in SEC and FINRA regulatory requirements, alongside the ability to provide comprehensive analysis and strategic...
-
Legal & Compliance (M&A Boutique)
11 hours ago
new york city, United States JCW Full timeLegal & Compliance, AVP/VP/SVP (M&A Advisory Boutique)Location: New York. NY (hybrid)Overview:We are recruiting for an experienced senior regulatory compliance professional to join an M&A Advisory Boutique. This role requires deep expertise in SEC and FINRA regulatory requirements, alongside the ability to provide comprehensive analysis and strategic...
-
Legal & Compliance (M&A Boutique)
3 days ago
New York, United States JCW Full timeLegal & Compliance, AVP/VP/SVP (M&A Advisory Boutique)Location: New York. NY (hybrid)Overview:We are recruiting for an experienced senior regulatory compliance professional to join an M&A Advisory Boutique. This role requires deep expertise in SEC and FINRA regulatory requirements, alongside the ability to provide comprehensive analysis and strategic...
-
Legal & Compliance (M&A Boutique)
3 days ago
New York, United States JCW Full timeLegal & Compliance, AVP/VP/SVP (M&A Advisory Boutique)Location: New York. NY (hybrid)Overview:We are recruiting for an experienced senior regulatory compliance professional to join an M&A Advisory Boutique. This role requires deep expertise in SEC and FINRA regulatory requirements, alongside the ability to provide comprehensive analysis and strategic...
-
VP Casualty Treaty
4 months ago
New York, New York, United States The Amynta Group Full timeWe're thrilled that you are interested in joining us here at the Amynta GroupVice President (VP)-Underwriting is responsible for producing, underwriting, managing and retaining profitable business for the company. The primary objective of the VP-Underwriting is to underwrite, maintain and grow the Brit portfolio in accordance with the business plan,...
-
VP Casualty Treaty
4 months ago
New York, United States The Amynta Group Full timeWe're thrilled that you are interested in joining us here at the Amynta Group!Vice President (VP)-Underwriting is responsible for producing, underwriting, managing and retaining profitable business for the company. The primary objective of the VP-Underwriting is to underwrite, maintain and grow the Brit portfolio in accordance with the business plan,...
-
SVP - Compliance Audit
3 months ago
Salt Lake City, United States Selby Jennings Full timeSenior Vice President, Compliance AuditLocation: Salt Lake City, UTCompensation: 160-220k base I am currently working with a Top American Bank that is looking to add a SVP to their Compliance IA group which will sit out of their Salt Lake City office. Ideal candidates have 8+ years of experience within Internal Audit and have a strong skillset across...
-
Risk and Controls Expert – VP/SVP
2 weeks ago
New York, United States Motion Recruitment Full timeJOB Details: Job title: Risk and Controls Expert – VP/SVPDuration: 06+ Months Location: New York, NY (Hybrid – 3 Days onside) Responsibilities: • Supports planning, directing, and coordination of day-to-day activities of running a program or portfolio of programs. • Directs the identification of risks that impact program delivery and ensures...
-
Risk and Controls Expert – VP/SVP
2 weeks ago
New York, United States Motion Recruitment Full timeJOB Details: Job title: Risk and Controls Expert – VP/SVPDuration: 06+ Months Location: New York, NY (Hybrid – 3 Days onside) Responsibilities: • Supports planning, directing, and coordination of day-to-day activities of running a program or portfolio of programs. • Directs the identification of risks that impact program delivery and ensures...
-
Vice President Regulatory Affairs
2 months ago
Long Island City, United States Meet Recruitment Full timeVP or SVP Regulatory Affairsopportunity with an Oncology focused biotech in the Boston area!Develop and implement robust regulatory strategy and provide operational support across all clinical programs, while adhering to applicable US and ex-US regulatory, compliance, and quality standards.Prepare and contribute to reports and regulatory submissions,...
-
Vice President Regulatory Affairs
2 months ago
Long Island City, United States Meet Recruitment Full timeVP or SVP Regulatory Affairsopportunity with an Oncology focused biotech in the Boston areaDevelop and implement robust regulatory strategy and provide operational support across all clinical programs, while adhering to applicable US and ex-US regulatory, compliance, and quality standards.Prepare and contribute to reports and regulatory submissions,...
-
VP or SVP of Business Development
3 weeks ago
New York, United States AlediumHR Full timeJob DescriptionJob DescriptionCompany DescriptionAlediumHR is a leading innovator in healthcare recruitment, specializing in matching qualified candidates for direct-hire positions in clinical and non-clinical roles across the United States and Canada. Our client is at the forefront of the exciting world of AI-driven precision oncology, leveraging...
-
VP Or SVP Of Business Developement
4 days ago
New York, United States AlediumHR Full timeCompany Description AlediumHR is a leading innovator in healthcare recruitment specializing in matching qualified candidates for directhire positions in clinical and nonclinical roles across the United States and Canada. Our client is at the forefront of the exciting world of AIdriven precision oncology leveraging cuttingedge artificial intelligence to...
-
VP - Investment Banking Compliance Advice
5 days ago
New York, United States Larson Maddox Full timeVP - Investment Banking Compliance Advice Our client, one of Europe's largest banking groups, is looking to hire an experienced Compliance professional at a Senior Manager / senior Vice President level to provide specialist Compliance advice and guidance to senior leaders and key members of the firms growing Investment Banking business with a focus on Equity...
-
Business Analyst
4 weeks ago
New York, United States Motion Recruitment Full timeGrow your career with an innovative global bank in New York, NY as a Business Analyst with a focus in Markets Compliance Risk. Contract role with strong possibility of extension. Will require working a hybrid schedule 3 days onsite per week. Join one of the world's most renowned global banks and trusted brand with over 200 years of continuously evolving...
-
VP| Regulatory Implementation Legal
3 weeks ago
New York City, United States Barclays Full timeVP - Regulatory Implementation Legal New YorkAs a Barclays Vice President - Regulatory Implementation Legal, get this exciting opportunity to be part of the legal team.Your responsibilities include overseeing Barclays' response to new regulations affecting the firm, managing risk and challenges, and identifying opportunities arising from regulatory...