Top Compliance Analyst Jobs in NYC, NY

Provides compliance support for a broker-dealer by coordinating compliance programs, conducting surveillance reviews and forensic testing, analyzing regulatory developments, researching exceptions, and identifying compliance risks. The role also improves and automates employee compliance processes, supports new business initiatives, collaborates with legal and business teams, and develops pragmatic solutions to regulatory and operational issues.

Leads technical compliance and federal authorization programs for MongoDB’s public-sector cloud products. Responsibilities include managing FedRAMP High, DoD IL5+, CJIS, and ITAR assessments; coordinating auditors, 3PAOs, agencies, and engineering teams; maintaining continuous monitoring, POA&Ms, security plans, evidence, dashboards, and remediation workflows; mapping NIST controls; advising on cloud security configurations; and mentoring stakeholders. The role requires deep public-sector GRC expertise, strong communication, and the ability to manage complex audits through Authorization to Operate.

The Compliance Analyst supports internal and external security assessments, maintains understanding of the company’s control environment, develops technical and external compliance documentation, and advises stakeholders on controls and risk mitigation. The role manages commercial and international frameworks including SOC 2 and ISO standards, translates engineering concepts into compliance language, and autonomously advances long-term compliance objectives while exploring AI and evidence-automation tools.

Leads Rubrik’s commercial security audit and certification portfolio, managing audit calendars, external auditors, evidence collection, control mapping, findings remediation, certification lifecycle activities, and leadership reporting. Partners with InfoSec, IT, Legal, Engineering, and Risk Management to maintain continuous audit readiness across SOC, ISO, CSA STAR, TISAX, HITRUST, and HIPAA frameworks. Uses Jira-based dashboards, GRC tooling, AI, and automation to streamline audit workflows and support customer security inquiries.

Leads organization-wide privacy incident response, including intake, investigation, risk assessment, notification, remediation, and closure. Monitors privacy and breach notification regulations, develops compliance guidance and response procedures, supports audits and regulator inquiries, and analyzes incident trends and controls. Partners with legal, information security, IT, vendors, and business teams to manage incidents, improve privacy processes, deliver training, and strengthen preventive controls.

Conduct compliance testing and monitoring across the bank and fintech partners, document findings, identify control weaknesses, assess regulatory changes, and collaborate with business, risk, legal, and partner teams to strengthen compliance processes.

Investigate potential market abuse, including wash trading, spoofing, layering, insider trading, and price manipulation. Review surveillance alerts, analyze trading data and market research, document evidence-based conclusions, and maintain audit-ready records. Collaborate with Product, Engineering, Legal, Risk, and Compliance teams to improve surveillance processes. Support special projects and priority investigations in a fast-paced global digital-asset environment.

Supports AML and compliance operations for a cryptocurrency platform. Responsibilities include reviewing transaction monitoring alerts, investigating accounts and blockchain activity, preparing SARs, performing KYC/KYB and EDD reviews, sanctions screening, using blockchain analytics tools, and optimizing monitoring rules with compliance engineering and cross-functional teams.

The Security Compliance Analyst manages cybersecurity, data privacy, classification, retention, governance, vulnerability assessments, incident response, and ATO documentation. Responsibilities include monitoring cloud environments and system logs, using SIEM tools, analyzing security risks, supporting security policies, reporting incidents, and ensuring compliance throughout the system lifecycle. The role also collaborates with Agile teams and stakeholders to protect sensitive data and resolve information assurance issues.

Manages enterprise privacy and regulatory compliance programs across concurrent workstreams. Coordinates stakeholders, develops project plans and governance processes, supports privacy reviews and risk assessments, researches state regulations, manages regulatory filings, analyzes regulator findings, supports audits, and communicates compliance changes, performance, risks, and KPIs to leadership. The role also mentors junior analysts and helps implement compliant business procedures and products in a health insurance environment.

Supports insurance product compliance by researching state regulations, preparing and submitting policy and product filings, responding to regulatory inquiries, and coordinating approved changes with underwriting, claims, marketing, and technology teams. Contributes to compliance programs, procedures, training, risk management, and regulatory change implementation.

Coordinates 340B Drug Pricing Program compliance across the health system by conducting audits, reviewing eligibility and purchasing data, monitoring contract pharmacy activity, maintaining split-billing software, validating charge-code mappings, preparing reports, and identifying risks, discrepancies, duplicate discounts, diversion, and claim-processing issues. The role supports pharmacy, finance, and administrative leadership through data analysis, compliance assessments, reporting, and program optimization.

Reviews retail advertising and communications for compliance with insurance, securities, FINRA, SEC, and state regulations. Researches regulatory requirements, responds to regulator and customer inquiries, coordinates subject matter reviews, tracks communications for retention, maintains compliance materials, and communicates regulatory changes. The role requires managing high volumes under tight deadlines while ensuring consistent review standards.

Own compliance decisions for healthcare professional clearance, including background check disqualifications, credential reviews, license violations, state requirements, audits, renewals, and reporting. Interpret statutes, regulations, and agency guidance; create risk analyses and decision records; recommend operational implementations; and resolve escalations in partnership with Legal and cross-functional teams.

Serves as the subject matter expert for individual disability insurance product compliance and supports supplemental health products. Monitors and interprets federal and state regulations, assesses risks, performs compliance testing, develops policies and guidance, supports product filings, and advises cross-functional teams. The role also assists with audits and regulatory examinations, develops training materials, reviews customer-facing materials, and participates in industry activities.

Reviews retail communications for compliance with firm policies, FINRA, SEC rules, and applicable laws. Explains required revisions, ensures record retention, researches policy questions, maintains compliance materials, supports workflow processes, and completes high-volume assignments within service-level deadlines.

Reviews retail communications for compliance with insurance, securities, FINRA, SEC, and state and federal regulations. Researches advertising requirements, responds to regulatory and customer inquiries, coordinates subject matter expert reviews, communicates compliance changes, maintains review records, and updates internal compliance materials. The role requires managing high volumes of work under tight deadlines in a fully remote environment.

Owns policy and SOP governance, compliance reviews, audit-ready documentation, incident and complaint reviews, corporate risk tracking, corrective actions, and compliance process improvements. Partners with business teams and the Chief Compliance Officer to identify gaps, escalate risks, maintain controls, and develop tools, templates, and guidance. The role requires strong communication, regulated-industry experience, and proficiency with AI productivity and workflow automation tools.

Support client CMMC and cybersecurity compliance engagements by reviewing documentation, validating technical controls, collecting evidence, maintaining SSPs and POA&Ms, assessing gaps, communicating findings, and preparing audit-readiness reports. The role involves working with clients, executives, engineers, and senior compliance staff while developing expertise in CMMC, NIST, and DFARS requirements.

Investigates potentially suspicious financial activity under AML/BSA, fraud prevention, and global regulatory requirements. Reviews transactional data and investigative leads, manages cases through disposition, prepares Suspicious Activity Reports, recommends risk mitigation, and coordinates with internal teams, regulators, law enforcement, and Financial Intelligence Units. Maintains accurate documentation, meets SLA deadlines, monitors regulatory and fraud trends, and supports process improvements and other analysts.

Supports global HR compliance and People Operations through regulatory monitoring, policy governance, audits, controls, data validation, reporting, documentation, and process improvement. Partners with Legal, People Technology, Compensation, and other HR teams to translate requirements into scalable processes, maintain accurate employee data, and support compliance initiatives across global markets.

Oversee compliance and reporting for US CLOs and rated note fund structures. Responsibilities include monitoring compliance tests, reviewing investor reports and waterfall calculations, conducting hypothetical testing, interpreting indentures, coordinating with portfolio management, trading, and structuring teams, preparing reports, and overseeing fund administration and trustee vendors.

Coordinates 340B Drug Pricing Program compliance across WVU Medicine entities. Performs audits of pharmacies, patient and provider eligibility, purchasing, claims, software mappings, and split-billing processes. Analyzes utilization, savings, exceptions, and discrepancies; maintains 340B software and charge-code mappings; validates data and reporting; supports covered entities and pharmacy leadership; and identifies risks involving duplicate discounts, diversion, contract compliance, and billing accuracy.

Supports compliance operations through regulatory reviews, monitoring, testing, investigations, control-gap remediation, audits, reporting, policy updates, and customer due diligence. Manages vendor compliance intake, questionnaires, policy version control, training coordination, and AI governance documentation. Partners with Legal and Security while monitoring developments in financial services, tax, privacy, and regulatory requirements.

Reviews marketing and customer-facing materials for regulatory compliance, performs monitoring and control testing, handles KYB/KYC and transaction-monitoring escalations, supports enhanced due diligence, maintains compliance records, assists with audits and examinations, partners with internal teams, and tracks employee compliance training.