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Regulatory Compliance Specialist

Marketing & Communications Risk AVP — Regulatory Review Lead

Job in Purchase, Westchester County, New York, 10577, USA
Listing for: Morgan Stanley
Full Time position
Listed on 2026-01-02
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 85000 - 140000 USD Yearly USD 85000.00 140000.00 YEAR
Job Description & How to Apply Below
A leading global financial services firm is seeking an Assistant Vice President for their Wealth Management Risk division in Purchase, NY. This role involves monitoring compliance of marketing communications and providing regulatory guidance. Candidates should have knowledge of SEC and FINRA regulations, possess strong analytical and communication skills, and hold relevant FINRA licenses. The base salary for this position ranges from $85,000 to $140,000 annually, determined based on individual qualifications.
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