Regulatory Compliance Specialist Jobs in New York
Regulatory Compliance Specialist jobs in New York are among the most active in the country, concentrated in financial services, healthcare, pharmaceuticals, and energy, with openings at every level from entry-level analyst through senior compliance officer. The heaviest hiring is in New York City, Buffalo, and Albany, where employers like JPMorgan Chase, Pfizer, and Con Edison maintain large compliance teams. The most in-demand specializations include financial regulatory compliance, FDA and pharmaceutical compliance, and environmental and energy regulation. Find a role that fits below and apply directly.
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Showing 5 of 22+ Regulatory Compliance Specialist jobs
Lead with Purpose, Unlock Your Team’s Passion
At LPL, people leaders hold the key to the employee experience—shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win: clients, LPL, and most importantly, our employees.
If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today.
LPL Financial seeks an experienced attorney to join its corporate legal advice team as Senior Vice President, Associate General Counsel. This SVP will report to the Executive Vice President responsible for providing strategic legal advice to various business units. This team focuses primarily on LPL’s broker-dealer and custodial platform business, while also supporting the investment advisory business. This leader serves as a strategic partner to senior leadership, shaping legal and regulatory strategy for LPL’s broker-dealer and advisory platforms. The role also advises Compliance, Supervision, and Risk, as well as Business Development (recruiting) and Corporate Development (M&A), on regulatory compliance related to these activities.
The ideal candidate thrives in a fast-paced business environment and can manage a substantial docket autonomously. A qualified candidate will have at least 10 years of relevant experience at a law firm counseling the financial services industry, specifically broker-dealer and retail investment advisory businesses, in areas such as federal, state, and SRO regulatory compliance, enforcement defense, and/or agency or private civil litigation/arbitration defense. In-house experience within a leading financial services firm will also be considered.
Responsibilities:
- Provide day-to-day legal support for LPL’s financial services business, including legal analysis and advice related to compliance with applicable rules, regulations, and legal risks impacting brokerage and investment advisory activities
- Review, revise, and develop internal policies and procedures in response to business initiatives and regulatory developments
- Conduct legal research and draft memoranda related to compliance with applicable laws, rules, and regulations
- Collaborate with members of the Legal Department and business units, including Supervision, Compliance, and Risk
- Manage a team of experienced attorneys aligned to LPL’s brokerage and control-based business lines
- Provide strategic counsel on M&A transactions and regulatory approval processes
- Advise on due diligence standards and establish protocols for the onboarding and distribution of alternative investments
What Are We Looking For?
We’re seeking strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Ideal candidates pursue excellence, act with integrity, and are driven to help clients succeed. We value individuals who embrace creativity, continuous improvement, and contribute to a culture where we win together and find joy in our work.
Requirements:
- Recognized as a trusted advisor by senior leaders in complex, highly regulated environments
- Expertise in the regulatory framework governing broker-dealers and investment advisers, including SEC and FINRA oversight
- Working knowledge of federal securities laws, the rulemaking process, regulatory notices, interpretive guidance, and agency interpretations
- Ability to advise on emerging areas such as AI-enabled advice tools, digital assets, and evolving regulatory frameworks impacting next-generation wealth platforms
- Demonstrated ability to lead and develop high-performing teams of attorneys, setting direction, elevating talent, and building a best-in-class legal function aligned to business growth
Core Competencies:
- Strategic judgment
- Executive presence
- Influence without authority
- Commercial mindset
- Talent leadership
Preferences:
- Experience drafting, filing, and managing continuing membership applications with FINRA
- Demonstrated success representing financial services firms in enforcement proceedings, federal and state court matters, SRO arbitrations, and administrative proceedings
- Working knowledge of alternative investments, including hedge funds, venture capital funds, private equity funds, public non-traded products, business development companies, and private placements
Success in the First 12–18 Months:
- Strengthening legal support for broker-dealer growth initiatives
- Enhancing regulatory strategy for complex product offerings
- Building a highly engaged, high-performing legal team
Pay Range:
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
For further information about LPL, please visit www.lpl.com.
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
EAC 5.19.26
Lead with Purpose, Unlock Your Team’s Passion
At LPL, people leaders hold the key to the employee experience—shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win: clients, LPL, and most importantly, our employees.
If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today.
LPL Financial seeks an experienced attorney to join its corporate legal advice team as Senior Vice President, Associate General Counsel. This SVP will report to the Executive Vice President responsible for providing strategic legal advice to various business units. This team focuses primarily on LPL’s broker-dealer and custodial platform business, while also supporting the investment advisory business. This leader serves as a strategic partner to senior leadership, shaping legal and regulatory strategy for LPL’s broker-dealer and advisory platforms. The role also advises Compliance, Supervision, and Risk, as well as Business Development (recruiting) and Corporate Development (M&A), on regulatory compliance related to these activities.
The ideal candidate thrives in a fast-paced business environment and can manage a substantial docket autonomously. A qualified candidate will have at least 10 years of relevant experience at a law firm counseling the financial services industry, specifically broker-dealer and retail investment advisory businesses, in areas such as federal, state, and SRO regulatory compliance, enforcement defense, and/or agency or private civil litigation/arbitration defense. In-house experience within a leading financial services firm will also be considered.
Responsibilities:
- Provide day-to-day legal support for LPL’s financial services business, including legal analysis and advice related to compliance with applicable rules, regulations, and legal risks impacting brokerage and investment advisory activities
- Review, revise, and develop internal policies and procedures in response to business initiatives and regulatory developments
- Conduct legal research and draft memoranda related to compliance with applicable laws, rules, and regulations
- Collaborate with members of the Legal Department and business units, including Supervision, Compliance, and Risk
- Manage a team of experienced attorneys aligned to LPL’s brokerage and control-based business lines
- Provide strategic counsel on M&A transactions and regulatory approval processes
- Advise on due diligence standards and establish protocols for the onboarding and distribution of alternative investments
What Are We Looking For?
We’re seeking strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Ideal candidates pursue excellence, act with integrity, and are driven to help clients succeed. We value individuals who embrace creativity, continuous improvement, and contribute to a culture where we win together and find joy in our work.
Requirements:
- Recognized as a trusted advisor by senior leaders in complex, highly regulated environments
- Expertise in the regulatory framework governing broker-dealers and investment advisers, including SEC and FINRA oversight
- Working knowledge of federal securities laws, the rulemaking process, regulatory notices, interpretive guidance, and agency interpretations
- Ability to advise on emerging areas such as AI-enabled advice tools, digital assets, and evolving regulatory frameworks impacting next-generation wealth platforms
- Demonstrated ability to lead and develop high-performing teams of attorneys, setting direction, elevating talent, and building a best-in-class legal function aligned to business growth
Core Competencies:
- Strategic judgment
- Executive presence
- Influence without authority
- Commercial mindset
- Talent leadership
Preferences:
- Experience drafting, filing, and managing continuing membership applications with FINRA
- Demonstrated success representing financial services firms in enforcement proceedings, federal and state court matters, SRO arbitrations, and administrative proceedings
- Working knowledge of alternative investments, including hedge funds, venture capital funds, private equity funds, public non-traded products, business development companies, and private placements
Success in the First 12–18 Months:
- Strengthening legal support for broker-dealer growth initiatives
- Enhancing regulatory strategy for complex product offerings
- Building a highly engaged, high-performing legal team
Pay Range:
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
For further information about LPL, please visit www.lpl.com.
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
EAC 5.19.26
See All 22 Regulatory Compliance Specialist Jobs in New York
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Find JobsRegulatory Compliance Specialist Jobs by City in New York
Where New York roles are concentrated, by current openings.
Regulatory Compliance Specialist Job Market in New York
A snapshot from current New York openings, updated as new roles post.
Who's Hiring
What New York Employers Look For
The qualifications that appear most often in regulatory compliance specialist jobs across New York.
- Bachelor's degree in law, finance, business, or a related field required
- Familiarity with New York DFS regulations and federal agency requirements preferred
- Certified Compliance and Ethics Professional (CCEP) or equivalent certification valued
- Experience interpreting and applying state and federal regulatory frameworks in a professional setting
- Strong written communication skills for drafting policies, reports, and regulatory filings
- Proficiency with compliance management software and document control systems expected
Regulatory Compliance Specialist Jobs in New York: Frequently Asked Questions
How do you become a regulatory compliance specialist in New York?
Most regulatory compliance specialist roles in New York require a bachelor's degree in law, finance, business administration, or a closely related field. There is no single state-issued license for this role, but employers in heavily regulated sectors like financial services expect familiarity with New York Department of Financial Services requirements. Certifications such as the Certified Compliance and Ethics Professional credential strengthen candidacy, and many employers in New York's finance and pharma sectors treat them as a near-requirement for advancement.
How much do regulatory compliance specialists make in New York?
Regulatory compliance specialists in New York earn a median of about $90,080 a year, based on May 2025 Bureau of Labor Statistics wage data, ranging from around $53,330 for the lowest 10% to over $142,370 for the top 10%. Pay rises with experience, specialty, and employer.
Which companies hire regulatory compliance specialists in New York?
Employers hiring regulatory compliance specialists in New York right now include icapital, TD, and BNY, based on current listings on Migrate Mate as of September 2026. New York's dense concentration of financial institutions, pharmaceutical companies, and utilities means compliance teams tend to be large and hire continuously, particularly in New York City and the Capital Region.
Which New York cities have the most regulatory compliance specialist jobs?
New York, Bronx, and Depew have the most regulatory compliance specialist openings in New York. New York City leads by a wide margin given its concentration of Wall Street financial firms, global pharmaceutical headquarters, and major healthcare systems, while Albany draws compliance demand from state agency contractors and government-regulated utilities operating across the state.
Are there remote regulatory compliance specialist jobs in New York?
Yes, and more than most fields. About 80% of regulatory compliance specialist openings tied to New York are remote or hybrid as of September 2026, reflecting how much of the work involves policy review, documentation, and regulatory analysis that does not require an on-site presence. Roles focused on audit preparation, policy writing, and reporting tend to offer the most remote flexibility.
How can I get hired as a regulatory compliance specialist in New York with little or no experience?
The most realistic entry path is a junior compliance analyst or compliance associate role, which New York financial institutions and healthcare systems regularly open to candidates with a relevant bachelor's degree and no direct compliance experience. Large employers like New York-Presbyterian and major banks in Lower Manhattan run rotational or development programs that place new graduates in compliance functions alongside experienced teams. A CCEP candidate designation or coursework in regulatory affairs also helps candidates without prior titles compete effectively for these positions.
Where can I find and apply to regulatory compliance specialist jobs in New York?
You can find and apply to regulatory compliance specialist jobs in New York on Migrate Mate, which lists current New York openings across financial services, healthcare, pharmaceuticals, and other regulated industries. Find roles that fit your experience and location and apply directly.
See All 22 Regulatory Compliance Specialist Jobs in New York
Find roles in New York that match your experience and apply in just a few clicks.
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