Top Compliance Analyst Jobs in NYC, NY

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.

Own federal security and compliance workstreams for a FedRAMP High program, including control implementation, evidence collection, continuous monitoring, vulnerability remediation, risk tracking, audit readiness, authorization artifacts, and customer assurance. Partner with technical and business teams to close remediation items and support compliance-as-code using machine-readable artifacts, automation, validation, and document generation.

Conduct end-to-end enhanced due diligence reviews for complex global businesses. Analyze KYB/KYC information, ownership structures, licensing and regulatory requirements, funds flows, AML risks, and adverse media. Perform targeted outreach, validate primary-source documentation, manage concurrent case queues, and produce clear, defensible EDD reports with review recommendations.

Maintain SOC 2 Type I and Type II compliance, coordinate audits and remediation, automate evidence collection through Vanta and Drata, manage access reviews and policy governance, support customer security questionnaires, and align controls with NIST, FedRAMP, and CMMC requirements. Partner with engineering and security teams on compliance-as-code, cloud controls, vendor risk management, metrics, incident evidence preservation, and federal readiness.

Supports IT governance, risk, privacy, and compliance programs by maintaining policies, coordinating audits, assessing technology and vendor risks, reviewing contracts, and tracking remediation. Manages privacy documentation including data inventories and processing records, evaluates AI solutions against relevant frameworks, audits access and IT assets, administers cybersecurity awareness training, and partners with Legal, Security, IT, People, and Procurement to embed compliance requirements in business initiatives.

Manage the full lifecycle of inbound KYC requests, including intake, documentation review, validation, client communication, recordkeeping, and timely resolution. Apply global KYC, AML, and international regulatory requirements, monitor regulatory changes, maintain audit-ready records, and escalate issues appropriately. The role operates in a high-volume, client-facing environment serving asset managers, private equity firms, and counterparties.

Supports registered fund compliance programs for mutual funds, ETFs, and closed-end funds. Responsibilities include compliance surveillance, investment guideline alerts, policy administration under SEC rules, fund launches, board reporting, annual and quarterly assessments, and coordination with fund administration, legal, risk, auditors, law firms, and service providers. The role also provides compliance guidance across client accounts and prepares regulatory and management materials.

Lead compliance analytics for BSA/AML and CRA: tune transaction monitoring and watchlist screening, build and streamline compliance reporting, support UAT, audits and regulatory exams, collaborate with Model Risk, Data Engineering and Technology, and prepare executive reporting.

Perform surveillance and monitoring of firm systems, review and address flagged issues, conduct email surveillance, prepare regulatory filings, assist with exams and investigations, deliver compliance training, update policies, review employee requests, and partner with Technology to improve internal review systems.

Conducts employee expense report audits, identifies compliance issues and fraud indicators, maintains internal control documentation and process maps, assesses control gaps, and supports internal and external audits. The role applies COSO, HIPAA, CMS, IRS, and internal control best practices while communicating findings and remediation recommendations to finance leadership and operational stakeholders.

Executes Liquidia’s IT compliance program across SOX, GxP, and 21 CFR Part 11 requirements. Manages IT audits, control evidence, corrective actions, third-party risk assessments, infrastructure qualification, validated systems documentation, cybersecurity framework alignment, AI governance records, and external auditor coordination. Partners with Quality, Procurement, Legal, auditors, and IT stakeholders to maintain policies, assess compliance impacts, support validation activities, and mature the cybersecurity governance roadmap.

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.

Support Ethics & Compliance by performing compliance monitoring, quality assurance, internal investigations, third-party due diligence, contract compliance reviews, metrics/reporting, and documentation. Cross-train across audit, risk, and compliance functions and produce reports for senior leadership and the board.

Reviews securities and wealth-management compliance work products, including periodic client reviews, Reg BI and DOL rollover attestations, marketing communications, and structured-product or alternative-investment supervision. Identifies deficiencies, cites applicable controls and regulations, drafts audit-trail entries and reviewer dispositions, and evaluates compliance with FINRA, SEC, suitability, and supervisory requirements.

Develop, implement, and maintain cybersecurity policies and data classification aligned with NIST CSF, FedRAMP High, IL5 and other standards; support ATO processes, manage compliance documentation and audits, train employees on security/privacy, and troubleshoot policy implementation for GovCloud environments.

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.

Classifies defense-industry parts and products under HTS and Schedule B, documents classification rationales, and supports import/export compliance. Applies rules of origin, customs requirements, ITAR, EAR, and other agency regulations. Coordinates with engineers and stakeholders, maintains compliance records, supports audits, post-entry reviews, FTZ activities, reporting, training, and special projects. Provides expert guidance on international trade compliance and helps improve operational efficiency.

Supports client delivery and implementation of SitusAMC software in production environments. Documents specifications, configurations, user guides, and release notes; configures and tests applications; validates and routes software defects; analyzes requirements; demonstrates upgrades and enhancements; and conducts client and internal training. Provides customer liaison support through virtual and on-site service delivery while resolving issues and adapting to changing priorities.

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 design, implementation, and operation of Affirm Bank's BSA/AML and compliance technology. Build and test transaction-monitoring rules, case-management workflows, dashboards, and controls; analyze alerts and control performance; maintain documentation; coordinate across Compliance, Product, Engineering, Data, and vendors to ensure audit-ready, scalable compliance systems.

Lead life sciences IT compliance and quality consulting projects, including CSV, CSA, risk-based validation, regulatory assessments, audits, data integrity reviews, and compliance modernization. Develop validation plans, requirements, risk assessments, test plans, trace matrices, policies, and client presentations. Evaluate regulated systems and infrastructure, support technology implementations, communicate with technical and executive stakeholders, and contribute to proposals, business development, and client relationship growth.

Build and own end-to-end compliance data pipelines and models (case, alert, entity, transaction, risk features). Ensure data quality, monitoring, lineage, and audit-ready documentation. Partner with Compliance and engineering to close upstream gaps, improve detection signal quality, and implement measurement frameworks and reporting for control effectiveness.

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.

Perform sanctions review, transaction monitoring, and enhanced due diligence within Correspondent Banking. Monitor Compliance Verification Level I, draft and follow up on live compliance inquiries, prepare approval memos, manage due-diligence case queue tasks, recommend actions (close, follow-up, file SAR), and perform additional tasks as assigned.

Conduct conflicts-of-interest research and analysis by reviewing matter intake, performing corporate and database research, designing Boolean database searches, and identifying potential conflicts for lawyer review. Communicate findings, work with Compliance Lawyers to resolve issues, maintain confidentiality, and support compliance workflow and Global Practice Standards inquiries.