Vice President, Regulatory Affairs

Location: New York

A leading organization within the financial services sector is seeking a Vice President, Regulatory Affairs Office to support and lead regulatory engagement and compliance-related initiatives. This role serves as a key liaison between the company and regulatory authorities, overseeing regulatory examinations, inquiries, submissions, and remediation efforts. The VP will establish and maintain Regulatory Affairs Office procedures, drive standardized processes for regulatory deliverables, ensure high-quality and timely submissions, and provide regular updates to senior leadership and governance committees.

Responsibilities

• Regulatory Liaison & Examination Management

• RAO Governance, Procedures & Recordkeeping

• Regulatory Reporting & Remediation Oversight

Qualifications

• Master’s degree required; J.D. preferred

• 10+ years of experience in Regulatory Compliance, Financial Crime, Legal, Enterprise Risk Management, Credit Risk, and/or Regulatory Exam Management

• 10+ years of experience managing regulatory enforcement actions and remediation initiatives

• Strong leadership, communication, and stakeholder management skills

• Knowledge of U.S. regulatory frameworks; BSA/AML and sanctions experience preferred

• CAMS certification preferred

Compensation and Benefits

Salary Range: $110,000 - $230,000 per year (with bonus earning potential)

Benefits Package:
Health, Vision, Dental, Life Insurance, 401K, PTO, and more

Equal Opportunity

Equal Opportunity Employer / Veterans / Disabled / Military-connected talent encouraged to apply.

Candidate Privacy

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Fair Chance

The Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including:

• The California Fair Chance Act

• Los Angeles City Fair Chance Ordinance

• Los Angeles County Fair Chance Ordinance for Employers

• San Francisco Fair Chance Ordinance

Massachusetts Candidates Only

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.

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