Top Compliance Analyst Jobs in NYC, NY

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.

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.

Support and enhance the Compliance Management Program by reviewing products, marketing, and disclosures; conduct monitoring and testing; investigate consumer complaints; track regulatory changes; perform client due diligence; maintain compliance documentation; and partner cross-functionally to mitigate fintech regulatory risk (consumer protection, privacy, credit reporting).

Review and advise on marketing materials for registered funds to ensure compliance with Investment Company Act, SEC Marketing Rule, FINRA Rule 2210, and Rule 482. Draft disclosures, conduct compliance testing, monitor regulatory developments, assess marketing compliance risks, coordinate with global compliance teams, deliver training, maintain policies and applications, and support examinations and stakeholder communications.

Lead compliance training reporting, oversight, and data management for U.S. Compliance. Develop and maintain reporting, dashboards, trackers and audit-ready documentation; validate and reconcile training data; advise business partners on regulatory training requirements; manage projects and remediation, and support regulatory readiness and program governance.

Investigate customer activity for AML concerns, perform Level 2 adjudications, draft SARs, conduct blockchain analysis and OSINT, analyze customer/device data, and perform customer outreach.

Lead Compliance Analyst will maintain and scale Security Compliance programs (SOX, SOC 1/2, HIPAA, PCI), oversee audits and onboarding, drive remediation with Engineering/Product/Finance, and improve controls via automation and standardization to address evolving risks including agentic AI.

The Senior IT Risk and Compliance Analyst manages vendor risk, ensures compliance with regulations, documents controls, and supports risk mitigation efforts across IT teams.

Review retail advertising and marketing communications for compliance with firm policy, FINRA and SEC rules; document and retain records; explain required changes to submitters; research policy questions; maintain internal compliance materials; follow vendor workflows; assist team members and meet service-level timeframes.

The Data Privacy Compliance Analyst will support the development and implementation of data privacy programs, assist privacy operations, and ensure compliance with global privacy laws.

Design and execute test scenarios for payroll tax compliance changes, validate tax calculations and outputs, document test results, manage defect lifecycle, collaborate with Compliance and Development to resolve issues, maintain test documentation and scenario libraries, and contribute to testing process improvements.

Perform conflicts-of-interest research and analysis by reviewing matter intake, conducting corporate and database research, running Boolean searches, identifying and summarizing potential conflicts, and coordinating findings with Compliance Lawyers while maintaining strict confidentiality.

Perform daily portfolio compliance across pre- and post-trade monitoring, wall crossings, and substantial shareholding reporting. Manage AML/KYC activities, SEC and other disclosure reporting, investigate and escalate mandate breaches, support conflicts management, produce regulatory reporting, and advise investment teams to ensure remediation and regulatory compliance.

The Technical Compliance Analyst ensures products meet technical and regulatory standards, collaborates on compliance issues, and analyzes regulations.

Own end-to-end CIP decisioning and quality across KYC/KYB, CDD/EDD, and OFAC screening. QA AI-assisted onboarding decisions, document reasoning for bank and regulatory scrutiny, support sponsor bank deliverables, contribute to AML/BSA and regulatory testing, identify process improvements, and partner with Product/Engineering to build scalable compliance infrastructure.

The SCA and DBA Compliance Analyst ensures compliance with the Service Contract Act and Davis-Bacon Act, managing regulatory adherence, conducting audits, and collaborating with various departments to uphold organizational integrity.

Support day-to-day insurance regulatory compliance across an MGA/program business: manage producer and adjuster licensing, respond to state regulator inquiries and complaints, assist with state filings and legislative monitoring, maintain regulatory records and compliance policies, and contribute to cross-functional compliance projects while leveraging AI-driven tools.

Execute end-to-end onboarding for complex institutional, corporate, and HNWI clients. Perform KYB/KYC, Enhanced Due Diligence, PEP and sanctions screening, escalate risks, support audits, optimize onboarding workflows, and partner with Sales and Risk to maintain compliance with AML/CFT and privacy regulations.