Compliance Manager, Finance & Banking

We are seeking a Compliance Manager to join a growing financial services firm in New York. This role will support the firm’s compliance framework across regulatory obligations, internal policies, and risk controls, working closely with senior management, legal, and front-office stakeholders.

• Monitor and interpret applicable U.S. financial regulations (SEC, FINRA, CFTC, state regulators as applicable).
• Support the implementation and ongoing maintenance of the firm’s compliance programme.
• Assist with regulatory filings, examinations, and responses to regulatory inquiries.
• Draft, review, and update compliance policies and procedures to reflect regulatory developments and business changes.
• Ensure policies are effectively implemented and embedded across the business.
• Maintain compliance manuals, risk assessments, and control documentation.

• Act as a day-to-day compliance contact for front office, operations, and technology teams.
• Provide practical guidance on new products, trading activity, client onboarding, marketing materials, and conflicts of interest.

• 5+ years’ experience in a compliance role within financial services (buy-side, sell-side, asset management, trading firm, or regulated fintech).
• Strong working knowledge of U.S. financial regulation (SEC / FINRA / CFTC depending on business model).
• Experience drafting and maintaining compliance policies and procedures.
• Excellent written and verbal communication skills with the ability to engage confidently with senior stakeholders.
• Detail-oriented, pragmatic, and comfortable operating in a fast-paced environment.