Regulatory Exams Jobs

Mission Driven

Growth & Learning

Open Door Policy

Rapid Growth

Customer-Centric

Dare to be Different

Diversity of Opinions

Passion for Exploration

Maternity Leave

Paternity Leave

Medical Insurance

Dental Insurance

Vision Insurance

Mental Health Resources

Life insurance

Disability Insurance

Health Savings Account (HSA)

Flexible Spending Account (FSA)

Equity

401K Matching

Lead Gemini’s broker-dealer compliance program in New York, driving supervisory, surveillance, AML, and regulatory exam readiness across trading and product operations.

Experienced compliance professional needed to perform monitoring and testing of Bank and SLP processes, identify gaps, and support regulatory preparedness at a growing nationwide lender.

Senior Manager — Regulatory Compliance (Private Funds) to provide strategic compliance guidance, lead SEC/FINRA exam support, and develop robust compliance programs for alternative investment clients at a global investor services firm.