Top Compliance Analyst Jobs in NYC, NY

Support implementation and monitoring of FAR/DFARS/CAS compliance controls, assist policy and control documentation, participate in internal reviews and audit readiness, prepare government filings, produce compliance reports and dashboards, monitor regulatory updates, and collaborate with cross-functional teams.

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.

The Compliance Coordinator will support the Legal and Compliance team by managing regulatory requests, maintaining databases, and providing administrative support.

Perform transaction monitoring and AML investigations, conduct KYB onboarding and due diligence, prepare risk summaries and SAR/STR support, respond to regulatory requests, and improve compliance operations while covering US banking hours.

Support the Compliance team in onboarding and ongoing oversight of BaaS fintech partners, conduct monitoring and reviews across lending, deposit, and operational activities, review due diligence and marketing collateral, identify control weaknesses and recommend remediation, assist with audits and regulatory exams, and contribute to the Compliance Management System and issue management. Engage with internal teams and partners to maintain compliance with federal and state consumer protection regulations.

Support compliance for Robinhood’s debit, spending, and credit products by analyzing regulatory changes, reviewing disclosures and marketing, managing disputes and complaints, coordinating with sponsor banks and partners, supporting audits and exams, and embedding regulatory requirements into product development and policies.

Support and execute the firm's GRC program including ISO 27001 ISMS support, client security assessments, vendor risk reviews, internal IT risk assessments, DR testing, access recertification, and remediation tracking across audits and security reviews.

Lead SOX compliance and internal audit activities: document and assess controls, design and execute tests, manage remediation, support SOX in projects, plan and perform risk-based audits, prepare reports with recommendations, and follow up on management action plans.

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.

Monitor federal, state, and local tax agencies for payroll-related regulatory changes; research and interpret routine requirements; document authoritative guidance and data needs; create clear change requests for downstream teams; maintain agency relationships and audit-ready records; communicate updates to stakeholders and support process improvement initiatives.

The Compliance Analyst conducts audits, analyzes customs compliance data, collaborates with internal teams and clients, and ensures regulatory adherence while mitigating risks.

The Compliance Analyst reviews contractual obligations, manages distributions post-closing, liaises with clients and internal teams, and ensures compliance and accuracy in fund distribution processes.

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.

Oversee state insurance filing activities to ensure product regulatory compliance. Review state requirements, draft and revise policy forms, manage filings (SERFF and others), coordinate with cross-functional teams, serve as regulator liaison, maintain filing documentation and governance, support audits and market conduct exams, and ensure systems accurately reflect filing status to enable timely approvals and minimize regulatory risk.

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.

Ensure Tilt's products, processes, and customer interactions comply with regulations. Manage complaints, perform UDAAP risk mapping and state regulatory research, test AI chatbot workflows, support audits, and drive process improvements through automation and data analysis.

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.

Review and approve retail advertising and communications for compliance with federal, state, FINRA, SEC, and insurance regulations. Research and respond to regulatory inquiries, manage SME review processes, maintain compliance documentation, and advise business units on regulatory impacts.

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.