Associate Director, Regulatory Compliance

  • Location: New York, NY
  • Type: Perm (Contingency)
  • Job #33789
  • Salary: $140,000

Compensation: $140,000 – $150,000 + bonus
Location: New York City

Job Overview:
The Associate Director, Regulatory Compliance is a senior-level position that is responsible for ensuring that the company operates in compliance with applicable laws, regulations, and industry standards. The primary role of this job is to develop and implement strategies to maintain compliance with regulatory requirements and mitigate any potential risks.

As an Associate Director, Regulatory Compliance, you will be responsible for the following:

  • Reviewing, drafting, and implementing compliance policies and procedures

  • Staying updated on regulatory changes and guidance to ensure adherence

  • Conducting compliance monitoring, forensic testing, and regulatory gap analysis

  • Identifying and remediating compliance violations

  • Performing annual and ad hoc compliance reviews

  • Reviewing and approving marketing and advertising materials

  • Managing regulatory examinations and inquiries

  • Participating in committees and working groups on relevant topics

  • Overseeing service providers and corporate affiliates

  • Keeping abreast of industry best practices and integrating them into the compliance program

  • Undertaking special projects and assignments as required

To be considered for the role of Associate Director, Regulatory Compliance, you should have:

  • 5-8 years of relevant compliance experience in the financial services industry

  • Bachelor's degree in a related field

  • Strong understanding of regulatory requirements

  • Excellent verbal and written communication skills

  • Ability to manage multiple projects simultaneously

  • Proficiency in MS Office applications

  • Experience with compliance systems such as AdMaster, MyComplianceOffice, or Global Relay (preferred)

  • Strong interpersonal skills and ability to build relationships

This role offers a competitive salary, bonus potential, and a comprehensive benefits package.

Application Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Job Status Markers: #LI-DNP | #LI-Onsite

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Job ID: 33789