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Vice President Regulatory Jobs (NOW HIRING)

Moomoo

VP, Regulatory Finance

Dallas, TX · On-site

VP, Regulatory Reporting The VP, Regulatory Reporting is responsible for ensuring compliance with SEC, FINRA, CFTC, NFA, NMLS and state requirement, and applicable financial responsibility rules ...

Lumanity

Vice President, Regulatory Strategy

Responsibilities / Position overview The Vice President, Regulatory Strategy is a senior enterprise leader who combines deep regulatory technical expertise with proven consulting and biopharma ...

Lumanity

Vice President, Regulatory Strategy

Responsibilities / Position overview The Vice President, Regulatory Strategy is a senior enterprise leader who combines deep regulatory technical expertise with proven consulting and biopharma ...

moomoo

VP, Regulatory Finance

Jersey City, NJ · On-site

The VP, Regulatory Reporting will oversee the firm's regulatory financial reporting framework, support financial operations across affiliated U.S. entities, maintain strong internal controls, and ...

moomoo

VP, Regulatory Finance

Jersey City, NJ · On-site

The VP, Regulatory Reporting will oversee the firm's regulatory financial reporting framework, support financial operations across affiliated U.S. entities, maintain strong internal controls, and ...

moomoo

VP, Regulatory Finance

Dallas, TX · On-site

The VP, Regulatory Reporting will oversee the firm's regulatory financial reporting framework, support financial operations across affiliated U.S. entities, maintain strong internal controls, and ...

moomoo

VP, Regulatory Finance

Jersey City, NJ · On-site

The VP, Regulatory Reporting will oversee the firm's regulatory financial reporting framework, support financial operations across affiliated U.S. entities, maintain strong internal controls, and ...

moomoo

VP, Regulatory Finance

Dallas, TX · On-site

The VP, Regulatory Reporting will oversee the firm's regulatory financial reporting framework, support financial operations across affiliated U.S. entities, maintain strong internal controls, and ...

SAB

Vice President Regulatory Affairs

Sioux Falls, SD · Remote

$153K - $202K/yr

The Vice-President Regulatory Affairs (RA) is responsible for ensuring that compliance is being upheld for Regulatory Affairs at SAB Biotherapeutics (SAB). This role will lead preparation, review and ...

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Vice President Regulatory information

See salary details

$43.5K

$157.5K

$277.5K

How much do vice president regulatory jobs pay per year?

As of Sep 1, 2026, the average yearly pay for vice president regulatory in the United States is $157,532.00, according to ZipRecruiter salary data. Most workers in this role earn between $115,000.00 and $190,000.00 per year, depending on experience, location, and employer.

What does a vice president regulatory do?

A Vice President of Regulatory is responsible for overseeing an organization's compliance with laws and regulations relevant to its industry. They lead the development and implementation of regulatory strategies, ensure the company meets all legal requirements, and interact with regulatory agencies. This role often involves managing submissions, audits, and inspections, as well as keeping the organization informed about changes in regulatory policies. The VP of Regulatory plays a critical role in minimizing risks and supporting the company's business objectives through effective compliance management.

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

To thrive as a Vice President Regulatory, you need deep expertise in regulatory affairs, compliance, and industry-specific laws, usually demonstrated by an advanced degree and significant experience in regulatory roles. Familiarity with regulatory submission platforms, compliance management systems, and certifications such as RAC (Regulatory Affairs Certification) are commonly required. Outstanding leadership, strategic thinking, and strong interpersonal communication enable effective guidance of teams and collaboration with regulatory agencies. These skills ensure organizational compliance, minimize risk, and facilitate successful product approvals in highly regulated industries.

What are some typical challenges faced by a vice president regulatory, and how can they be navigated effectively?

A Vice President of Regulatory often encounters challenges such as keeping pace with rapidly evolving regulations, aligning company operations with diverse global compliance standards, and managing cross-functional teams to ensure timely submissions. Proactive communication with regulatory agencies and strong collaboration across departments are essential for anticipating changes and addressing compliance gaps. Building a knowledgeable team and leveraging regulatory intelligence tools can greatly aid in navigating these complexities while minimizing risk to the organization.

What is the difference between Vice President Regulatory vs Regulatory Manager?

AspectVice President RegulatoryRegulatory Manager
ResponsibilitiesStrategic oversight of regulatory compliance, policy development, and industry advocacy at executive levelManaging daily regulatory operations, ensuring compliance, and preparing documentation
Required CredentialsAdvanced degree (e.g., JD, MS), extensive regulatory experience, leadership skillsBachelor’s or Master’s degree, relevant regulatory experience
Work EnvironmentExecutive offices, cross-departmental collaboration, industry associationsRegulatory departments, compliance teams, project management

The Vice President Regulatory holds a senior leadership role focused on strategic regulatory initiatives, while the Regulatory Manager handles operational compliance tasks. Both roles require regulatory expertise, but the VP is more involved in policy and industry strategy, whereas the Manager manages day-to-day compliance activities.

What cities are hiring for Vice President Regulatory jobs?

Cities with the most Vice President Regulatory job openings:

What are the most commonly searched types of Regulatory jobs?

The most popular types of Regulatory jobs are:

What states have the most Vice President Regulatory jobs?

States with the most job openings for Vice President Regulatory jobs include:

Vice President Regulatory jobs near you
Infographic showing various Vice President Regulatory job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 88% Full Time, 8% Part Time, and 3% Contract. Highlights an 86% Physical, 3% Hybrid, and 11% Remote job distribution, with an average salary of $157,532 per year, or $75.7 per hour.

VP, Regulatory Finance

Moomoo

Dallas, TX • On-site

Other

This job post has expired today. Applications are no longer accepted.

Job description

VP, Regulatory Reporting

The VP, Regulatory Reporting is responsible for ensuring compliance with SEC, FINRA, CFTC, NFA, NMLS and state requirement, and applicable financial responsibility rules, including net capital, customer daily reserve computation, daily segregation/secured/swaps computation, FOCUS filings to FINRA and NFA, MSB Call Reporting and regulatory reporting requirements.

The VP, Regulatory Reporting will oversee the firm's regulatory financial reporting framework, support financial operations across affiliated U.S. entities, maintain strong internal controls, and serve as a key partner during regulatory examinations and financial audits. This individual plays a critical role in safeguarding the firm's regulatory standing, financial integrity, and operational resilience.

Office Location: Jersey City, NJ/Dallas, TX

This role must be based on the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter.

What You'll Do

  • Maintain responsibility for broker-dealer and FCM financial regulatory compliance.
  • Prepare, review, and file all required regulatory filings, including:
    • FOCUS Reports for both SEC/FINRA and CFTC/NFA
    • Customer Daily Reserve Computations (Rule 15c3-3)
    • Net Capital Computations (Rule 15c3-1) to be in compliance with SEC and CFTC rules
    • SSOI, OBS, SIPC, and related regulatory filings
    • MSB Call Reporting on NMLS and certain state filings
  • Monitor daily net capital to ensure ongoing compliance with regulatory thresholds.
  • State Money Transmission License application and renewal
  • Support regulatory examinations and serve as a key contact for FINRA, SEC, CFTC, NFA and external auditors.
  • Support month-end, quarter-end, and year-end close processes for multiple affiliated entities. Ensure reporting accuracy, completeness, and audit readiness across financial and regulatory reporting functions.
  • Assist with the enhancement and maintenance of accounting, regulatory, and ICOC/internal control frameworks.
  • Organize and coordinate all financial audits, including annual audits, state audit and regulatory financial examinations.
  • Partner cross-functionally with Finance, Compliance, Operations, and Technology teams on process improvements and systems implementations.
  • Assist in developing scalable reporting and operational processes to support business growth and regulatory compliance.
  • Prepare standard and ad hoc financial and operational reporting for management and regulators.
  • Maintain and updates procedures and controls, including WSP, RCM, desk-top procedures.
  • Perform additional duties and special projects as assigned.
  • Manage and train teams as needed.

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