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Regulatory Compliance Specialist

Control Room Compliance Lead: Conflicts & Deals

Job in New York City, Richmond County, New York, 10261, USA
Listing for: Natixis NY Branch
Full Time position
Listed on 2025-12-01
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist
  • Law/Legal
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 125000 - 165000 USD Yearly USD 125000.00 165000.00 YEAR
Job Description & How to Apply Below
A leading financial institution in New York is seeking a Compliance Officer to oversee compliance within its Investment Banking division. The ideal candidate has a strong legal background, deep knowledge of SEC and FINRA regulations, and over five years of compliance experience. Responsibilities include managing conflicts of interest, advising on deal processes, and ensuring adherence to information barriers.

This role offers a competitive salary ranging from $125,000 to $165,000 along with a comprehensive benefits package.
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