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Regulatory compliance Officer

Regulatory compliance Officer

PhaxisNew York, NY, US
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Regulatory Compliance Manager

A well-established financial institution is looking for a Regulatory Compliance Manager to strengthen its oversight of compliance and regulatory affairs. This individual will be responsible for leading regulatory interactions, conducting risk reviews, and ensuring the firm's activities align with applicable laws and supervisory expectations.

What You'll Do

  • Lead the preparation and coordination of materials for regulatory exams, supervisory meetings, and independent audits.
  • Serve as a key point of contact for regulators and external reviewers.
  • Develop, maintain, and enhance compliance risk assessments across business lines and legal entities.
  • Identify potential areas of concern, propose remediation, and track corrective actions through resolution.
  • Provide senior management with regular reporting on compliance matters, emerging risks, and regulatory developments.
  • Partner with Internal Audit, Legal, and business leaders to embed strong controls into day-to-day operations.
  • Maintain organized documentation of regulatory interactions and internal compliance activities.
  • Educate internal stakeholders on compliance standards and regulatory requirements.

What We're Looking For

  • Bachelor's degree required; advanced degree preferred.
  • 5-7 years of compliance or regulatory affairs experience in banking, broker-dealer, or financial services.
  • Strong knowledge of securities regulations, banking rules, and industry best practices.
  • Demonstrated ability to manage complex regulatory exams from start to finish.
  • Excellent writing, presentation, and interpersonal skills.
  • Strong organizational skills with the ability to balance multiple priorities.
  • Proven track record of building constructive relationships with regulators, auditors, and internal teams.
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    Regulatory Compliance • New York, NY, US