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Regulatory Exam Jobs (NOW HIRING)

Jane Street

Regulatory Exam Manager

New York, NY · On-site

About the position We're looking for a Regulatory Exam Manager to join our Legal and Compliance team in New York. In this role, you'll oversee our response to regulatory examinations from start to ...

Jane Street

Regulatory Exam Manager

New York, NY · On-site

About the position We're looking for a Regulatory Exam Manager to join our Legal and Compliance team in New York. In this role, you'll oversee our response to regulatory examinations from start to ...

Financial Industry Regulatory Authority, Inc.

$140 - $280/hr

The Director of the Crypto Exam and Regulatory Conduct team oversees the end-to-end execution of investigations related to crypto-related investor protection risks, market conduct rules and ...

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Regulatory Exam information

See salary details

$15

$34

$145

How much do regulatory exam jobs pay per hour?

As of Aug 30, 2026, the average hourly pay for regulatory exam in the United States is $34.60, according to ZipRecruiter salary data. Most workers in this role earn between $22.36 and $26.20 per hour, depending on experience, location, and employer.

What is a regulatory exam?

Regulatory exams are assessments or inspections conducted by government agencies or regulatory bodies to ensure that organizations comply with relevant laws, regulations, and industry standards. These exams can cover areas such as financial practices, safety protocols, environmental regulations, and more, depending on the industry. The purpose of a regulatory exam is to protect consumers, maintain market integrity, and ensure that businesses operate ethically and within legal boundaries. Organizations typically undergo periodic regulatory exams and must address any issues or deficiencies identified during the process.

What are the key skills and qualifications needed to thrive as a regulatory examiner, and why are they important?

To thrive as a Regulatory Examiner, you need a solid understanding of financial regulations, risk assessment, and compliance procedures, usually supported by a degree in finance, accounting, or a related field. Familiarity with regulatory reporting systems, audit software, and sometimes professional certifications like the CRCM or CPA is often required. Strong analytical thinking, attention to detail, and effective communication are crucial soft skills in this position. These skills ensure accurate evaluation of compliance, effective reporting, and constructive interaction with regulated entities.

What are some common challenges faced during a regulatory exam, and how can professionals best prepare for them?

Professionals involved in regulatory exams often face challenges such as managing tight deadlines, ensuring complete and accurate documentation, and responding to unexpected inquiries from examiners. Preparation typically involves coordinating with various departments to gather necessary information, reviewing internal processes for compliance, and conducting mock exams or readiness assessments. Proactive communication, organization, and a thorough understanding of relevant regulations are key to navigating these exams successfully. Building strong relationships with internal teams also helps ensure timely and accurate responses to examiner requests.

What is the difference between Regulatory Exam vs Insurance Underwriter?

AspectRegulatory ExamInsurance Underwriter
Required CredentialsTypically requires passing a regulatory exam and licensingRequires knowledge of insurance policies, risk assessment, and sometimes licensing
Work EnvironmentRegulatory agencies, compliance offices, or licensing boardsInsurance companies, underwriting departments, or brokerage firms
Industry UsageMandatory for licensing and compliance in financial and insurance sectorsUsed to evaluate and price insurance risks for clients
Common Search/ComparisonOften compared due to licensing requirements and industry overlap

The Regulatory Exam and Insurance Underwriter roles both require industry-specific knowledge and licensing. The Regulatory Exam focuses on compliance, laws, and regulations, often necessary for licensing in financial and insurance sectors. In contrast, the Insurance Underwriter assesses risks and determines policy terms. While they serve different functions, both are integral to the insurance industry and often searched together by professionals seeking licensing or career information.

Is regulatory compliance a stressful job?

Regulatory compliance jobs can be stressful due to the need to ensure strict adherence to complex laws and regulations, often under tight deadlines. Professionals in this field must stay updated on changing rules and may face pressure to prevent violations, which can contribute to job stress. However, the level of stress varies depending on the organization, workload, and individual skills.

What are the most commonly searched types of Regulatory Exam jobs?

The most popular types of Regulatory Exam jobs are:

What states have the most Regulatory Exam jobs?

States with the most job openings for Regulatory Exam jobs include:

What job categories do people searching Regulatory Exam jobs look for?

The top searched job categories for Regulatory Exam jobs are:

Regulatory Exam jobs near you
Infographic showing various Regulatory Exam job openings in the United States as of August 2026, with employment types broken down into 2% As Needed, 86% Full Time, 9% Part Time, and 3% Contract. Highlights an 89% Physical, 4% Hybrid, and 7% Remote job distribution, with an average salary of $71,960 per year, or $34.6 per hour.

Regulatory Exam Manager

Jane Street

New York, NY • On-site

Full-time

Posted 9 days ago

Job description

About the position

We're looking for a Regulatory Exam Manager to join our Legal and Compliance team in New York. In this role, you'll oversee our response to regulatory examinations from start to finish.

You'll serve as a primary point of contact for regulators and coordinate colleagues across the firm to ensure our responses are clear, accurate, timely, and support constructive regulatory relationships. Additional responsibilities of this role will include:

  • Interpreting requests and establishing the scope, responsibilities, and timeline for each examination
  • Drafting written submissions and preparing colleagues for meetings with examiners
  • Reviewing relevant materials to identify areas for improvement or escalation
  • Maintaining examination records and improving the processes we use to manage examinations and related inquiries
About you
  • Have 8+ years of relevant legal, compliance, or regulatory experience in financial services, with deep substantive involvement in regulatory examinations
  • Have worked directly with the SEC, FINRA, and other regulators at a bank, broker-dealer, trading firm, or similarly regulated financial institution, or advised broker-dealer clients through regulatory examinations as outside counsel
  • An excellent writer who can turn complex information into precise, accessible responses
  • A polished communicator who can build productive relationships with regulators and handle challenging conversations
  • Knowledgeable about the US financial regulatory framework, with the good judgment to recognize when to seek guidance from a subject matter expert
  • Highly organized and able to manage deadline-driven work involving contributors from across the firm
  • Have a bachelor's degree (having a JD is a plus, though you will not be acting as a lawyer in this role)

If you're a recruiting agency and want to partner with us, please reach out to agency-partnerships@janestreet.com

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