Compliance Manager, Finance & Banking
Listed on 2026-01-12
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Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst
Overview
Our client is a prominent international investment management firm. They are seeking a Compliance Manager to join the team. This position is hybrid and based 3 out of 5 days per week at their Midtown Manhattan office. The firm offers excellent benefits, including health insurance and generous PTO.
Responsibilities- Oversee FINRA, SEC, FCA and other regulatory compliance
- Maintain company policies and procedures related to compliance
- Monitor trades and escalate issues
- Work cross-functionally with other Legal and Compliance team members
- Perform regular reporting and data analysis
- Salary Range: $90-150k annually, based on experience
- Excellent benefits package includes health insurance and generous PTO!
- Bachelor’s degree required (preferred majors: Finance, Accounting, Data Science or similar)
- 5-10 years’ experience in Compliance at an investment management firm
- Must have Series 4, 7, 24, 57, and 63 securities licenses (or able to obtain within a year)
- Must have Capital Markets deal execution experience
- Strong numerical ability and data analytics skills
Gainor provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, creed, sex, sexual orientation, gender (including gender identity and expression), age, national origin, immigration status, marital or familial status, citizenship status, ancestry, physical or mental disability, genetic information, reproductive health decision making, veteran or military status, or any other characteristic or status protected under applicable federal, state, or local law.
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