Vice President, Compliance
Confidential
Vice President, Compliance
About the Company
Financial services firm focused on compliance, transactional oversight, and regulatory governance.
Industry
Financial Services
Type
Privately Held
About the Role
The Company is in need of a Vice President of Compliance with a focus on transactional oversight, information-barrier management, and governance matters within a financial services environment. The successful candidate will be responsible for supporting the administration and maintenance of policies and procedures related to conflicts of interest and information management, monitoring transactional activity, and ensuring appropriate tracking and documentation. This role also involves conducting research for materiality and confidentiality assessments, reviewing and supporting the execution of non-disclosure agreements, and contributing to various compliance initiatives. The Vice President of Compliance will work closely with business partners and senior stakeholders to ensure regulatory alignment and will be expected to have a Juris Doctor (JD) degree, at least 3 years' of experience in compliance, legal, or regulatory roles within financial services, and a general understanding of financial products and institutional operations. Applicants for the Vice President of Compliance position at the company should have a JD degree and a minimum of 3 years' of experience in compliance, legal, or regulatory roles within financial services or a similar institutional environment. Experience in supporting transactional compliance processes and confidentiality protocols is preferred. The role requires a general understanding of financial products and institutional operations, as well as a working familiarity with U.S. regulatory and compliance concepts, particularly in the management of confidential information. Strong communication skills, the ability to work with senior professionals, and a high level of ethical standards are essential. The candidate should be adept at using internal and external research tools for compliance oversight and reporting, and be prepared to contribute to a range of compliance initiatives, including reviews, reporting obligations, and special projects.
Travel Percent
Less than 10%
Functions
- Finance
- Legal
$215k - $358k
...Vice President, Tax Reporting to the Chief Financial Officer, the Vice President, Tax will play a critical leadership role in the finance... ...organization, overseeing all global tax strategy, planning, compliance, and operations. This includes corporate income tax, indirect...SuggestedLocal areaFlexible hoursSprinklr Inc.
New York, NY1 day ago$259k - $394k
...suffering from immunological diseases. Position Summary The Vice President, Regulatory Affairs will be responsible for the development and... ...across Vera in multiple capacities, thereby ensuring compliance with Regulatory standards and corporate‑wide commitment to Quality...SuggestedVera Therapeutics, Inc.
New York, NY4 days ago- ...empathy. Promote and support employee engagement initiatives that build a strong, unified team dedicated to our mission. Culture & Compliance Lead by example, embodying and reinforcing Havenpark’s core values in every decision and interaction. Ensure unwavering...SuggestedHome office
Havenpark Communities
New York, NY4 days ago - ...Vice President of Financial Planning & Analysis About the Company Innovative provider of cloud-based fraud & dispute management solutions... ...dispute management software fraud and disputes software and fraud compliance About the Role The Company is in search of a VP of Financial...Suggested
Confidential
New York, NY2 days ago - ...Vice President, Income Tax About the Company Retail company expanding globally and building an in-house income tax function. Industry Retail... ...and overseeing the company's tax strategy, reporting, and compliance, with a focus on transitioning key responsibilities from external...Suggested
Confidential
New York, NY10 hours ago - ...Vice President, Global Quality Compliance About the Company Well-known pharmaceutical company Industry Pharmaceuticals Type Privately Held About the Role The Company is in search of a Vice President for Global Quality Compliance. The successful candidate will be responsible...
Confidential
New York, NY10 hours ago - ...Vice President, AML / OFAC Compliance Advisory About the Company Prominent investment bank Industry Investment Banking Type Privately Held About the Role The Company is seeking a VP for AML and OFAC Compliance Advisory. The successful candidate will be responsible for...
Confidential
New York, NY10 hours ago $165.49k - $206.86k
...Assistant Vice President, Administration MTA Bridges and Tunnels reserve the right to remove this posting before the application deadline... ...transformation, particularly the Kronos system, and ensures compliance with MTA Headquarters policies, TBTA collective bargaining agreements...For contractorsWork at officeLocal areaRemote work1 day per weekMetropolitan Transportation Authority
New York, NY5 hours ago$248k - $268k
Overall Function The Vice President, Accounting (GL, Financial Reporting, Compliance and Treasury) is a senior finance leader responsible for the integrity, transparency and strategic oversight of the organization’s financial operations. This role ensures best in class...Work at office$124.6k - $207k
Job Duties Vice President, Financial Crime Controls with Goldman Sachs & Co. LLC in New York, New York. Advise business and control-side stakeholders on Financial Crime Compliance (FCC) risks associated with engaging in digital assets related activities, clients and counterparties...- ...service, technical support, logistics, and customer success functions. You will help standardize processes, strengthen safety and compliance, and improve operational performance indicators such as uptime and responsiveness. Customer & Commercial Leadership - Build...Local areaRemote workFlexible hours
$160k - $334k
Vice President, Investment Banking - Industrials page is loaded## Vice President, Investment Banking - Industrialslocations: New York, NYtime... ...site may request reasonable accommodations by emailing HR\_Compliance@keybank.com.#LI-HybridKeyBank is an organization collectively...Work at officeFlexible hours- ...Solicitation‑to‑Award lifecycle, delivering data‑driven insights and compliance verification for government agencies. Leveraging advanced... ...This is a part‑time, remote role for the position of Vice President of Sales. The Vice President of Sales will be responsible for...Part timeRemote work
- ...expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient... ...striving to be best-in-class. As a Conduct Risk Compliance Vice President within the Compliance Conduct and Operational Risk (CCOR)...
- ...Vice President, Income Tax About the Company Industry leading provider of top-notch services Industry Consumer Services Type... ...and foreign income tax planning and research, ensuring compliance with tax laws and regulations across various jurisdictions, and...
- ...Vice President, Compliance Risk Assessment & Data Analytics About the Company Respected investment bank Industry Investment Banking Type Privately Held About the Role The Company is seeking a VP for Compliance Risk Assessment and Data Analytics...
$300k
Vice President, Compliance & Ethics (US) New York About Nscale Nscale is the GPU cloud engineered for AI. We provide cost‑effective, high‑performance infrastructure for AI start‑ups and large enterprise customers. Nscale enables AI‑focused companies to achieve superior...Flexible hours- As a Vice President, Business Strategy and Operations within Chase Co-brand, you will be accountable for the end-to-end management of strategic... ...methods and sound change management. Oversee contract compliance and SLA adherence, including identifying and managing required...Contract work
- ...Vice President of Channel Sales About the Company Industry-leading provider of ACA compliance & employee benefits administration services Industry Internet Type Privately Held Founded 2002 Employees 11-50 Categories Information Technology...
- ...leadership, market development, and operational oversight to expand Lower’s retail footprint while ensuring sustainable profitability and compliance. What you’ll do: Sales Leadership & Market Growth Work with Chief Strategy Officer and Head of Retail Lending to develop and...Full timeTemporary workWork at officeLocal areaRemote work
$115k - $180k
## Securities Regulatory Reporting Vice PresidentApplylocations: New York, NY (1271 AOA/6th Ave)time type: Full timeposted on: Posted... ...- continuous monitoring required (“moment-to-moment” compliance)* Review of Early warning / notification requirements if capital...Extra incomeWork at officeLocal areaRemote workWorldwide$184k - $230k
...days after their effective date of hire. Job Summary: Reporting directly to the Senior Vice President of Environmental, Safety and Health, the Vice President of Environmental Compliance is a senior-level position within the Environmental, Health & Safety department, with...For contractorsWork at officeLocal areaRemote work1 day per week- ...Vice President, Legal & Compliance About the Company Global firm overseeing CFTC compliance across sales, trading, and international operations. Industry Financial Services Type Privately Held About the Role The Company is seeking a Vice President...
- Our department leads end-to-end acquisition across digital and direct mail, streamlining launches while ensuring full compliance and executional excellence. We build and empower a high-performing team that operates with speed, precision, and strong accountability. Through...
$250k - $375k
..., performance‑oriented FinTech marketing models, including CPA‑adjacent and outcome‑linked partnership frameworks Navigation of compliance and regulatory considerations relevant to FinTech advertising in the US and international markets Gaming & Betting Sports betting...Work at officeFlexible hoursWeekend work$350k - $400k
...in every company. About the Role Glean is seeking a Regional Vice President to join our Strategic Sales team in the New England area. A... ...visit the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at How do you know if you have a...Contract workFor contractorsFor subcontractorWork at officeRemote workHome officeFlexible hours- ...Senior Vice President of Compliance About the Company Public-markets asset management firm ensuring regulatory excellence and compliance leadership in a hybrid environment. Industry Investment Management Type Privately Held About the Role The Company...
- ...Vice President, Fund Accounting, Private Assets About the Company Private asset fund accounting organization focused on precision, compliance, and client satisfaction. Industry Financial Services Type Privately Held About the Role The Company is...Work at office
- ...Vice President of Accounting About the Company Premier financial services company Industry Financial Services Type Privately... ...role in overseeing all accounting, tax, treasury, and compliance functions. The successful candidate will be responsible for managing...
- ...Vice President, Client Services About the Company Top-tier digital asset investment firm Industry Financial Services Type... ...adept at collaborating with portfolio management, operations, compliance, and sales teams to ensure smooth execution and exceptional client...
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Vice President, Compliance. Be the first to apply!
- vice president operations manager New York, NY
- vp of accounting New York, NY
- vice president technical operations New York, NY
- vice president legal New York, NY
- senior vice president of operations New York, NY
- vice president project management New York, NY
- vp customer service New York, NY
- vp support New York, NY
- vice president of accounting New York, NY
- vice president program management New York, NY