Top Compliance Analyst Jobs in NYC, NY

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.

Review and approve retail advertising and communications for compliance with federal/state insurance rules, FINRA and SEC regulations. Research and draft guidance, respond to regulator inquiries, manage SME review processes, maintain compliance materials, and communicate regulatory impacts to business units.

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.

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.

The analyst will research filing requirements, prepare and monitor P&C rate filings, communicate revisions, support compliance operations, and monitor regulations pertinent to assigned products.

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.

Develop and publish research for Chief Compliance Officers on compliance program optimization, regulatory change, risk frameworks, analytics, governance, monitoring, and reporting. Advise executive clients through conversations, videoconferences, events, and occasional press inquiries. The role requires senior compliance leadership experience, strong executive communication, cross-functional collaboration, and the ability to translate quantitative and qualitative evidence into actionable recommendations for global organizations.

Provide second-line privacy risk oversight for colleague (employee) data across the Colleague Experience Group. Support privacy risk assessments, challenge first-line controls, monitor key risk indicators, partner with HR, Legal, Compliance, Risk, and Technology, promote Privacy-by-Design, and support governance, reporting, and regulatory change activities.

Provides compliance coverage for equities sales, trading, and strategy personnel within Global Markets. Advises on regulatory requirements, evaluates new business initiatives, develops policies and training, supports audits and regulatory examinations, conducts compliance look-backs, manages escalations, and analyzes regulatory changes to mitigate compliance and reputational risks.

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.

The Analyst-Compliance will manage Customer Due Diligence processes, ensure regulatory compliance, and support governance-related projects across markets and functions in alignment with financial crimes compliance standards.

Support the Compliance Risk Management Program by coordinating regulatory exams, managing audits, and enhancing regulatory readiness through collaboration and process improvement. Engage with stakeholders and ensure compliance with regulatory expectations.

Serve as the RIA compliance subject matter expert partnering with business teams to review marketing, product, and member communications; manage IAR registrations, OBAs, ADV filings; build policies and procedures; handle member compliance issues; and support governance of proprietary and AI-driven tools.

Support Investment Compliance change initiatives by analyzing data and processes, documenting requirements, assisting testing (UAT), producing insights and reports (Excel/SQL/Power BI), and coordinating stakeholders to improve controls, workflows, and automation across global teams.

The Portfolio Oversight Analyst will manage trading controls, code client investment guidelines, handle regulatory compliance, and support trading desks. Responsibilities include preparing regulatory reports, assisting in client due diligence, and participating in overnight calls for trading issues resolution.

As a Crypto Compliance AML Analyst, you will monitor and investigate AML and fraud across crypto transactions, ensuring regulatory compliance while improving systems and processes.

Build and maintain SQL queries and automated data workflows to support CARF and 1099-DA regulatory reporting. Validate, reconcile, and document reporting data; partner with cross-functional teams; track work in Jira; identify automation opportunities; support testing, audits, and jurisdictional implementations.

Lead and manage SOC 1/SOC 2 exams and SOX/ICFR activities, assess and remediate ITGCs/ITACs, translate audit requirements into scalable controls, partner with engineering and finance, drive audit readiness, documentation, and automation to improve control effectiveness and audit outcomes in a cloud-native environment.

Serve as the primary compliance subject-matter expert for assigned mortgage regulatory areas. Translate regulations into LOS system, business, and procedural requirements; own compliance-related changes from analysis through implementation and validation; design and support testing; document decisions for audit; and coordinate with Legal, Technology, Operations, and Compliance to maintain compliant LOS functionality and continuous improvement.

Perform customer due diligence and regulatory verification for client onboarding. Review onboarding packages, perform identity and sanctions screening, validate ownership and licenses, complete Payment Network checks, maintain client files, document exceptions, support Senior Compliance Managers, and improve SOPs to ensure compliant onboarding.

Manage PLM/PIM systems and data (Centric, Pimberly), own product compliance (labeling, PFAS, CPSIA, CAFTA), execute EU Digital Product Passport requirements, run sustainability programs (certifications, RDS, Scope 3.1 data), and coordinate regulatory reporting and cross-functional stakeholders.