Top Compliance Jobs in NYC, NY

Senior AML compliance officer supporting the Enterprise AML Compliance Officer across program strategy, sanctions compliance, transaction monitoring, escalation review, training, policy/risk assessments, regulatory readiness, and VAFA. Leads case oversight, sanctions investigations, alert program tuning, AML training design/delivery, metrics/reporting, and cross‑functional coordination to strengthen a risk‑based enterprise AML program.

Manage and execute the RIA and BD compliance program: registration and filings, surveillance, testing, advertising review, training, electronic communications monitoring, vendor due diligence, AI governance, exam readiness, and day-to-day program operations supporting SEC and FINRA requirements.

Oversee financial crime compliance for North American onboarding and customer due diligence programs, focusing on AML and fraud investigations. Advise stakeholders on BSA, AML/CTF, OFAC, and related regulations; challenge and approve controls, products, and process changes; represent compliance to regulators and auditors; support SAR governance and risk assessments; monitor KRIs and management information; identify risks and coordinate mitigation plans.

Oversee AML and fraud controls for Wise’s North American onboarding and customer due diligence programs. Advise stakeholders on BSA, AML/CTF, OFAC, and regulatory requirements; challenge and approve control changes, products, and features; monitor financial crime metrics and risks; support SAR governance and risk assessments; conduct regulatory horizon scanning; and represent compliance oversight to regulators, auditors, and partners.

Leads network compliance risk management for Capital One’s network and merchant businesses. Provides compliance advice and effective challenge, evaluates laws and regulations, identifies emerging payments risks, supports new products and business expansions, and strengthens the compliance program within the three-lines-of-defense framework. Partners with Business Risk, Legal, Audit, and senior leaders while serving as a subject matter expert for payments and network compliance.

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.

Lead FreeWheel's global financial operations and compliance, owning billing, collections, credit risk, transfer pricing, international tax/statutory audit responses, cash movement, SOX/internal controls and governance. Build scalable processes, drive operational excellence, manage a global finance team, and ensure regulatory and company compliance to support global growth.

The Director of AML/BSA Compliance oversees compliance programs, leads a team, manages regulatory requirements, and develops training for compliance strategies in a consumer fintech environment.

Conduct first-pass compliance reviews of affordable housing resident files across LIHTC, HUD Section 8, and USDA programs. Apply established rules to income, assets, deductions, certifications, and recertifications; verify automated outputs; document findings; escalate ambiguous cases; support testing and UAT; and meet accuracy, volume, and SLA targets.

Lead compliance for Wise's broker-dealer operations in North America, overseeing regulatory frameworks, policies, and product compliance while ensuring regulatory engagement and operational readiness.

Work daily on transaction monitoring: review alerts, conduct KYC/KYB and enhanced due diligence, investigate cases, draft SAR narratives, send RFIs, support KYC refreshes, and improve policies while staying current on FinCEN/FATF guidance.

Execute KYC/KYB onboarding and transaction monitoring: verify documents, analyze beneficial ownership, sanctions/PEP/adverse media screening, conduct enhanced due diligence, draft SARs, send RFIs, perform KYC refreshes, support policy improvements, and monitor emerging financial crime trends including on-chain analytics.

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.

The Senior Wealth Advisor manages client relationships, delivers wealth management services, and supports growth through referrals and marketing, all in a remote, independent capacity.

The Senior Audit Director will lead internal audits for BBH's Investor Services, manage teams, advise on risk and control issues, and represent the department at senior management forums.

Lead and scale AMER regional AML/financial crime compliance, act as regional MLRO liaison with federal and state regulators, provide compliance sign-off on high-risk decisions, advise on licensing and product compliance, oversee local operations and reporting, and deliver regional training to enable compliant market expansion.

Provide regulatory guidance on marketing and distribution for PMG products, review and advise on marketing materials, analyze regulatory developments, support product launches, develop trainings and policies, collaborate with Legal and global colleagues, and manage stakeholder relationships and project workstreams.

Lead compliance for prime brokerage and equities: develop and enforce regulatory policies, monitor trading and brokerage activities, manage risk and controls, liaise with regulators, and lead a compliance team to ensure adherence to SEC/FINRA and internal standards.

Lead and continuously improve the companys SOX 404 program: design strategy, risk assessment, scoping, testing, and remediation. Partner with Finance, IT, Legal, and business owners to document controls, manage external audits, drive automation and ERP/GRC integrations, report to executives and Audit Committee, and establish policies, training, and a scalable SOX team.

Lead risk and compliance activities for a high-risk banking environment: prepare for audits and regulatory exams, draft policies and governance, evaluate internal controls, run risk assessments and gap analyses, maintain training, monitor regulatory changes, and produce KRI/KPI Board-level reporting.

Manage tax planning, compliance, and reporting across a multi-entity organization. Serve as primary tax authority, coordinate with external advisors, oversee partnership and indirect tax compliance, maintain filing calendar, handle information reporting (1099/1042), support international tax matters, liaise with government authorities, and improve tax processes and controls.

The Fund Controller manages fund accounting accuracy and consistency, collaborates with teams, and oversees compliance and audit partnerships.

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 enterprise-wide compliance and financial-crime risk assessments, evaluate controls and residual risk, produce executive reports, partner with MLROs/CCOs globally, drive transaction monitoring and customer risk scoring coverage, update geographic risk ratings, develop threat assessment frameworks, and pioneer AI-powered automation while maintaining human oversight.

The Director of Regulatory & Compliance will lead the Governance, Risk, and Compliance strategy, manage regulatory obligations, and support product compliance in a remote setting.