Top Compliance Analyst Jobs in NYC, NY

Manage and maintain RMF authorizations and audit evidence (SSPs, SARs, POA&Ms, STIGs), embed compliance into engineering and CI/CD, coordinate internal assessments and external audits (FedRAMP High, CMMC 2.0, SOC 2), run risk and vendor reviews, and automate continuous control testing across federal and commercial environments.

Analyze customer complaints for regulatory risk, research individual cases, draft formal responses to customers, bank partners, and regulators, escalate issues, create actionable reporting, and support special consumer compliance projects.

Lead data strategy and analytics for Compliance, focusing on Financial Crimes/AML. Drive ETL, source validation, and analyses to quantify compliance risk, support regulatory engagements, and influence product and compliance roadmaps. Communicate insights through visualization and cross-functional collaboration while leading multiple high-impact workstreams.

Lead and mature Headway's GRC program across certifications (HITRUST, SOC 2, PCI-DSS, HIPAA), third-party risk, security awareness training, and technical risk management. Manage audit readiness, vendor assessments, risk register, and cross-functional embedding of compliance. Build repeatable, AI-enabled processes and coordinate remediation and assessor activities.

Lead AML/CTF program for a CFTC-registered prediction market: develop policies, conduct risk assessments, oversee transaction monitoring and KYC/CDD, manage SARs and regulator interactions, deliver training, and update procedures for regulatory changes.

Lead quality control and assurance for Compliance Operations, perform AML process reviews (KYC, transaction monitoring, screening), drive process improvements, partner with stakeholders and vendors, deliver quality reporting and scale the quality program.

Lead data analytics for network and merchant compliance: design tests, build models and reporting, mine large datasets, improve data quality and processes, advise stakeholders on risk, and manage a team to implement compliance analytics solutions.

Perform enhanced due diligence on high-risk customers and transactions; review screening alerts (WorldCheck, Clear, LexisNexis); prepare SARs and FinCEN 314a searches; maintain client KYC/risk profiles; manage sanctions/OFAC reporting; conduct adverse media and employee screening; optimize screening system configurations; draft AML procedures; support audits, training, and cross-functional AML inquiries and escalations.

Support compliance governance and monitoring: administer controls certification, issues and remediation tracking, regulatory inventory and policy reviews, prepare periodic reporting, manage contract compliance monitoring, and coordinate with stakeholders to close actions.

Lead and enhance Circle's IT SOX compliance program by evaluating ITGCs, automated and IT-dependent controls, documenting SOX-ready materials, coordinating testing and remediations, liaising with IT, Security, Finance and auditors, and driving control design for system implementations and new product launches.

The Compliance Analyst will monitor trading activity, train staff, manage regulatory reporting, and ensure compliance with legal obligations.

Review and approve retail advertising and communication for compliance with federal/state insurance and securities laws (FINRA/SEC), manage regulatory correspondence, coordinate subject-matter reviewers, track records, maintain compliance materials, and respond to regulator, customer, and producer inquiries.

Perform compliance reviews, monitor regulatory changes, assist with audits and risk assessments, respond to compliance inquiries, prepare compliance reports, and work cross-functionally to implement and improve compliance programs.

Support Research Compliance by overseeing consultant interactions and custom projects, chaperoning and documenting consultant calls, maintaining compliance policies and systems, recommending policy improvements, and partnering with investment professionals and compliance team members.

The Compliance Analyst will implement and manage Spellbook's US compliance program, working with various teams to ensure regulatory adherence and audit-readiness across sectors such as government and healthcare.

Perform onboarding and ongoing compliance oversight for Registered Investment Advisor (RIA) representatives, including U4/U5 and ADV 2B filings, monitoring Outside Business Activities, compliance testing, regulatory research, responding to inquiries, and coordinating with internal stakeholders to mitigate compliance risks.

Evaluate fraud concerns, resolve payment exceptions, and manage bank reconciliations. Communicate with security holders and banking partners, prepare reconciliation and reporting, process transfers, and identify process improvements. Support deal-driven schedules, occasionally working evenings or weekends.

The Lead Analyst, Product Compliance ensures compliance in product lifecycle, conducts risk assessments, collaborates with teams, and develops compliance processes for Circle's Payments product.

As a Senior Claims Compliance Analyst, manage compliance practices, monitor regulatory changes, develop controls, and provide training to ensure adherence to insurance regulations.

Lead customer-facing security reviews, perform risk and gap assessments, manage external audits (SOC 2, ISO, PCI, HIPAA, FedRAMP, etc.), run internal audits and security training, improve vendor risk management and compliance metrics, build/automate controls and respond to RFIs to support sales.

Review and evaluate marketing and promotional materials for medical device products to ensure accuracy and compliance with FDA and FTC regulations; coordinate with marketing, legal, regulatory, and clinical teams to resolve compliance issues; maintain documentation, lead cross-functional asset reviews, and support development of compliance SOPs.

Support compliance monitoring, testing, and branch audits for acquired firms during integration. Conduct risk assessments, audits, and branch exams; identify trends, document workpapers, track remediation action plans, assist policy development, and report to Compliance leadership while staying current on regulatory developments.

Manage payroll calculation, analysis, and reporting for union and prevailing-wage programs. Interpret contracts, reconcile payroll data, prepare compliance reports, support audits, configure pay codes in Workday, and drive process improvements while collaborating with HR, Finance, HRIS, field leadership and external partners.

Manage insurance regulatory filings (SERFF) for forms, rules, and rates; maintain forms and filings libraries; coordinate with product and engineering; support audits and data calls; maintain complaint process; review marketing and broker contracts/appointments; collaborate cross-functionally to ensure compliance and accuracy.

Support day-to-day mortgage compliance: manage NMLS licensing, respond to audits and examinations, monitor ECOA/TILA/TCPA compliance, prepare Mortgage Call Reports and HMDA filings, handle complaints and investigations, maintain state registrations and policies, review loan document packages, and assist with vendor management.