Sell-side Compliance Jobs

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Head of Control Room

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Salary: $180,000 - $200,000 per year

Location: New York

Date Posted: December 4, 2025

A leading financial institution seeks an expert Head of Control Room for its New York office. The role shapes compliance and risk management across banking, markets, and research, ensuring strict adherence to FINRA and SEC regulations. You’ll advise senior leaders, guide teams through complex rules, and promote strong collaboration. The firm offers flexible work, supportive leadership, and ongoing professional development.

VP, Compliance Marketing Review

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Salary: $150,000 - $175,000 per year

Location: Greenwich

Date Posted: October 31, 2025

Our client is seeking a Vice President for Compliance Marketing Review to join their team. You will be immersed in a culture that values academic excellence, intellectual honesty, and open collaboration, working alongside knowledgeable professionals who are committed to transparency and continuous learning. The position offers significant exposure to a wide array of investment strategies and product vehicles, as well as the chance to interact with senior stakeholders across the business.

Vice President, Investment Banking Compliance

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Salary: $150,000 - $200,000 per year

Location: New York

Date Posted: October 20, 2025

You will focus on providing real-time support to the FIC Sales & Trading business, which focuses on credit, rates, securitized products, foreign exchange, and emerging markets debt. With primary focus on the Credit business, you will advise on issues (questions, problems, or proposals) related to Credit sales and trading activities, surveillance and monitoring of controls, supervision, and other issues that are typical for a large global investment bank.