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Regulatory Exam Manager Jobs (NOW HIRING)

Socket.dev

Regulatory Exam Manager

Manhattan, 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 ...

Jane Street

Regulatory Exam Manager

New York, NY

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 ...

Bank of China Limited, New York Branch

NY · On-site

$150K - $198K/yr

Ensure standards are maintained and followed related to the Bank's regulatory interactions, including exam management, regulatory meeting, request for information and other ad hoc communications

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Regulatory Exam Manager information

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$54.5K

$110.7K

$182K

How much do regulatory exam manager jobs pay per year?

As of Sep 12, 2026, the average yearly pay for regulatory exam manager in the United States is $110,733.00, according to ZipRecruiter salary data. Most workers in this role earn between $77,500.00 and $136,500.00 per year, depending on experience, location, and employer.

What does a regulatory exam manager do?

A Regulatory Exam Manager oversees and coordinates a company's response to regulatory examinations conducted by government agencies or industry regulators. They ensure that the organization is prepared for these examinations by managing document requests, facilitating meetings, and communicating with both internal teams and external regulators. Their role is crucial in ensuring compliance with laws and regulations, minimizing risk, and maintaining a positive relationship with regulatory bodies. They also help interpret regulatory findings and work with departments to address any identified issues.

What are the key skills and qualifications needed to thrive as a regulatory exam manager?

To thrive as a Regulatory Exam Manager, you need a comprehensive understanding of regulatory compliance, risk management, and financial industry regulations, often supported by a bachelor's degree in finance, law, or a related field. Familiarity with regulatory reporting systems, audit management tools, and certifications such as CRCM or CAMS is typically required. Exceptional organizational skills, attention to detail, and effective communication enable you to coordinate examinations and interact with regulators confidently. These skills ensure that organizations maintain compliance, minimize regulatory risk, and build strong relationships with oversight bodies.

What are some typical challenges faced by a regulatory exam manager during regulatory examinations?

Regulatory Exam Managers often encounter challenges such as coordinating responses across multiple departments, ensuring the timely collection of necessary documentation, and maintaining clear communication with both internal stakeholders and regulators. Managing tight deadlines while ensuring accuracy and compliance with regulatory requests can be demanding. Additionally, they must stay updated on evolving regulatory requirements to anticipate examiner focus areas and proactively address potential gaps.

What is the difference between Regulatory Exam Manager vs Compliance Analyst?

AspectRegulatory Exam ManagerCompliance Analyst
CertificationsRegulatory exams, industry-specific licensesCompliance certifications (e.g., CCEP, CAMS)
Work EnvironmentRegulatory agencies, financial institutionsCorporate compliance departments, financial firms
Industry UsageRegulatory bodies, financial servicesFinancial, healthcare, and other regulated industries

The Regulatory Exam Manager primarily oversees regulatory examinations and ensures compliance with industry standards during audits. In contrast, the Compliance Analyst focuses on monitoring internal policies and procedures to meet regulatory requirements. Both roles require understanding of regulations, but the Exam Manager is more involved in preparing for and managing external audits, while the Analyst handles ongoing compliance monitoring.

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Regulatory Exam Manager jobs near you
Infographic showing various Regulatory Exam Manager job openings in the United States as of September 2026, with employment types broken down into 86% Full Time, 13% Part Time, and 1% Contract. Highlights an 86% Physical, 2% Hybrid, and 12% Remote job distribution, with an average salary of $110,733 per year, or $53.2 per hour.

Regulatory Exam Manager

Manhattan, NY • On-site

Socket.dev
Network Security • 1 - 10 employees
Learn more about Socket.devexternal

Other

Posted 10 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)
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