Regulatory Attorney: NYSE Compliance & Investigations
$175k - $225kIntercontinental Exchange (ICE)
Intercontinental Exchange (ICE) is looking for a Regulatory Attorney to join NYSE Regulation. This role involves managing cases from FINRA's examination of member firms, and providing guidance for investigations and regulatory compliance. The ideal candidate will have a Juris Doctor, 7+ years’ legal experience in broker-dealer matters, and strong communication skills. The expected salary in New York ranges from $175,000 to $225,000 USD, plus competitive benefits. #J-18808-Ljbffr Intercontinental Exchange (ICE)
Vacancy posted 5 days ago
Similar jobs that could be interesting for youBased on the Regulatory Attorney: NYSE Compliance & Investigations in New York, NY vacancy
$175k - $225k
Intercontinental Exchange Holdings, Inc. is looking for a Regulatory Attorney to join NYSE Regulation in New York. The role involves managing a caseload of regulatory issues, overseeing investigations, and drafting SEC rule proposals. Candidates should have a Juris Doctor...Suggested$175k - $225k
...Intercontinental Exchange company) is seeking a Regulatory Attorney to join NYSE Regulation. Among other things,... ...for addressing broker‑dealer non‑compliance with the NYSE exchanges’ rules and... ...NYSE Regulation Surveillance and Investigations team and for oversight of certain...SuggestedFull time$175k - $225k
ICE Clear Europe Limited is seeking a Regulatory Attorney in New York to support NYSE Regulation and manage investigations and examinations related to broker-dealer compliance. The ideal candidate should have 7+ years of legal experience, a Juris Doctor, and advanced knowledge...Suggested$310k - $420k
...~ Privacy & Cybersecurity Associate Attorney (Mid-level/Senior) Practice Area... ...Incident Response & Information Security Regulatory Compliance Location: ~ Washington, D.C... ...to complex multijurisdictional investigations and have been instrumental in shaping...SuggestedFull timeFixed term contractFlexible hoursPeople Placers Staffing
New York, NY2 days ago- The New York City Department of Investigation is seeking a dynamic attorney to serve as Counsel. This role involves supporting the General Counsel Unit's legal functions, handling subpoenas, and conducting legal research. The ideal candidate will have a law degree, strong...Suggested
$125k - $150k
The City of New York is seeking an experienced Supervising Investigations Counsel for the Department of Consumer and Worker Protection. This... ..., leading complex investigations, and ensuring legal compliance across various worker rights laws. Qualified candidates must...Remote jobFull time- Arrow Search Partners is looking for a Regulatory Attorney, AVP - Legal & Compliance in New York. This role involves working on various compliance matters for investment businesses and advising investment professionals on regulatory issues. The ideal candidate will have...
- Job Title: Private Equity Regulatory Attorney Location: Fully Remote - We are unable to hire in CA Company: Simon Compliance LLC Employment Type: Full-Time About Simon Compliance LLC: Simon Compliance is a boutique compliance consulting firm offering the best in consulting...Full timeRemote work
$135k - $200k
Arrow Search Partners is seeking an experienced Legal & Compliance Attorney, AVP, located in New York. The ideal candidate must have over... ...include supporting compliance-related matters, maintaining regulatory policies, and advising on investment strategies. The role requires...$135k - $200k
Legal & Compliance - Credit & Insurance Regulatory Attorney, AVP Locations: New York Full time The Compliance Assistant Vice President will work on a variety of compliance-related matters involving the investment businesses. Primary job responsibilities include: Responsibilities...Full timeWork at officeLocal area$135k - $200k
....**Business Unit:** Blackstone Legal & Compliance (Infrastructure)Blackstone seeks an Assistant... ...communities we serve.**Job Title:** Attorney (Compliance), Assistant Vice President*... ...unit and corporate teams to prepare regulatory reports and filings (e.g., Forms ADV, Form...Local areaFlexible hours- A leading prediction market platform is seeking a Regulatory Attorney to support its legal strategy. The ideal candidate will have 3-7 years... ...regulation. Key responsibilities include advising on compliance with CFTC regulations, drafting regulatory filings, and monitoring...
- ...the fire. About The Role We are seeking a highly motivated Regulatory Attorney with 3-7 years of experience to support legal and... ...Commission (CFTC). What you’ll do Provide daily support to Legal, Compliance, and Markets teams Advise on the application of the Commodity...Contract work
- Regulatory Attorney, AVP - Legal & Compliance - Credit Funds Locations: New York, New Jersey, Miami Full time The firm is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we...Full timeWork at officeFlexible hours
- A boutique compliance consulting firm is seeking a Private Equity Regulatory Attorney to support compliance for financial services clients. Responsibilities include drafting policies, leading client calls, and assisting with regulatory filings. The ideal candidate has...Remote job
- Energy Regulatory Attorney - Des Moines Posted on November 24, 2025 Culture and Engagement at Dentons Fostering an inclusive and welcoming... ...position will: Advise clients on energy regulatory and compliance issues, including matters before local, state, and federal...Work at officeLocal area
$260k - $390k
...Healthcare Regulatory Associate Direct Counsel is seeking a Healthcare Regulatory Associate... ...is an exceptional opportunity for an attorney interested in working at the... ...supporting sophisticated transactions and compliance initiatives. Responsibilities...Direct Counsel
New York, NY3 days ago$83.59k - $178.46k
Assistant Attorney General - Immigrant Trust Office, New York City Reference No. ITO_NYC_AAG_3888... ...General (AAG). The ITO is tasked with ensuring compliance with state law related to civil immigration enforcement, investigating complaints, and bringing legal actions to...Work at officeLocal areaRemote work2 days per week$92.53k - $106.4k
The City of New York is seeking an experienced attorney to manage EEO investigations within the Citywide Equity and Inclusion Department. This role involves guiding agency personnel in EEO matters, conducting investigations, and preparing comprehensive reports to support...- The Blackstone Group L.P. in New York seeks a Compliance Assistant Vice President to support Compliance and Legal teams on SEC, CFTC, and... ...credit and corporate bond trading compliance, and monitor regulatory developments with internal and external counsel. A law firm background...
- ...New York (FDNY) seeks a full-time Agency Attorney Level III in the Equal Employment... ...significant independent judgment, conduct investigations of complex EEO violations; conduct interviews... ...relating to EEO law; conduct EEO compliance inspections; when needed, conduct thorough...Full timeWork at office
$260k - $390k
...Description Job Description Healthcare Regulatory Associate Attorney (Mid-Level) Locations:... ...companies on complex regulatory and compliance matters. The role offers the opportunity... ..., compliance programs, and investigations within a rapidly evolving healthcare...$225k - $235k
...Direct Counsel is seeking a Global Regulatory Enforcement Associate Attorney (Junior-Level) to join a national... ...with litigation, government investigations, and SEC enforcement matters. Federal... ...in strategy sessions and compliance assessments. Qualifications...Flexible hours$250k - $300k
...Management Corporation (NYSE: ARES) is seeking an... ...privacy and data protection attorney to join its Legal team... ...oversight of privacy compliance across the firm’s... ...applicable local laws and regulatory expectations and... ...data breach response, investigation, and regulatory notification...Contract workTemporary workLocal areaFlexible hoursShift work$260k - $365k
...involves representing clients in legal proceedings and advising on compliance with financial regulations. The successful candidate will require a Juris Doctor (JD) Degree and must excel in regulatory research and client representation. The compensation ranges from $26...Remote job$310k
Commodity Futures Trading Commission "CFTC" Regulatory Associate Attorney Direct Counsel is seeking a CFTC Regulatory Associate Attorney to join... ...disciplinary regulatory matters. Responsibilities Advise clients on compliance with the Commodity Exchange Act (CEA) and CFTC...Contract workTemporary workWork at officeFlexible hours- ...Murtha is seeking an associate for their Energy Industry Team in Albany, NY or New York, NY. The role involves supporting various regulatory and litigation matters within the energy sector. Candidates should be prepared to engage actively with clients and team members,...
$225k - $330k
...Description Job Description Financial Services Regulatory Enforcement Associate Attorney Direct Counsel is seeking a Financial... ...with experience handling regulatory investigations, enforcement actions, and compliance matters involving financial institutions, fintech...$200k - $240k
...Employment, Compensation and Benefits to join our legal and compliance team. This individual will play a critical role in advising on... ...management, workplace policies, employee relations, internal investigations, and litigation strategy. Advise on design, implementation, and...Work at officeLocal areaFlexible hoursCryptocurrency
New York, NY2 days ago- The New York City Fire Department is seeking a full-time Agency Attorney Level III for its Equal Employment Opportunity Office in New York, NY. The role requires conducting investigations into complex EEO violations with minimal oversight while exercising significant independent...Full timeWork at office
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Regulatory Attorney: NYSE Compliance & Investigations. Be the first to apply!
Related searches
- regulatory executive New York, NY
- regulatory law New York, NY
- regulatory accountant New York, NY
- regulatory technician New York, NY
- regulatory contract New York, NY
- regulatory coordinator New York, NY
- regulatory scientist New York, NY
- regulatory engineer New York, NY
- regulatory New York, NY
- food regulatory New York, NY