Vice President, Compliance

Vice President, ComplianceLocation: New York, NY | Hybrid Compensation: $150,000-$200,000OverviewWe are seeking an experienced Vice President of Compliance to support compliance activities related to transactional oversight, information‑barrier management, and broader governance matters within a financial services environment.This role works closely with business partners and senior stakeholders to ensure appropriate controls, documentation, and regulatory alignment across firm activities.ResponsibilitiesSupport the administration and ongoing maintenance of policies and procedures related to conflicts of interest and information managementMonitor transactional activity and coordinate with internal teams to ensure appropriate tracking and documentationConduct research related to issuers, securities, and transaction details to support materiality and confidentiality assessmentsReview and support the execution of transaction‑related non‑disclosure agreementsAssist with the maintenance, enhancement, or migration of compliance monitoring tools, systems, and workflowsUse internal systems and external research tools to support compliance oversight and reportingTrack regulatory and industry developments and assist with internal guidance or policy updatesContribute to a range of compliance initiatives, including reviews, reporting obligations, governance matters, and special projectsProvide ongoing support across core compliance functions such as monitoring, testing, codes of ethics, and internal controlsQualificationsJuris Doctor (JD) required5+ years of experience in compliance, legal, or regulatory roles within financial services or a similar institutional environmentExperience supporting transactional compliance processes and confidentiality protocols preferredGeneral understanding of financial products and institutional operationsWorking familiarity with U.S. regulatory and compliance concepts, including management of confidential informationStrong communication skills and comfort working with senior professionalsHigh ethical standards, sound judgment, and a collaborative working style