Top Compliance Jobs in NYC, NY

Manage tax compliance and advisory services, lead teams, ensure quality deliverables, and integrate technology to optimize tax services for clients.

Lead second-line financial crime compliance oversight for AML and fraud controls across US and Canada. Advise stakeholders on BSA/AML/OFAC, challenge first-line controls, define MI/KRIs, support SAR committee, contribute to risk assessments, engage regulators and auditors, and drive remediation and control improvements.

Lead second-line AML and fraud oversight for North America, advising on BSA/OFAC/NYDFS compliance, supervising investigations, challenging first-line controls, defining MI/KRIs, supporting SAR committee work, engaging regulators, and driving risk assessments and remediation.

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.

As a Senior Manager in Financial Services Global Structuring, you will lead technology-enabled tax advisory projects, manage client relationships, and develop strategies for optimizing tax compliance and efficiency.

As a Senior Manager in International Tax Services, you will lead projects, provide strategic tax advice, coach teams, and innovate tax processes through technology.

As a Tax JD Associate, you will assist with tax compliance, prepare documents, conduct financial analysis, and support client engagements while developing your skills in a fast-paced environment.

As a Senior Manager in Private Tax, you lead large projects, provide tax advisory, mentor teams, and interact with senior clients to ensure operational excellence and compliance.

The Customs & International Trade Tax Manager at PwC leads teams, advises clients on tax strategy, and manages complex problems related to indirect tax compliance and optimization, emphasizing technology and mentoring.

As a Senior Manager in Specialized Tax Services, you will lead projects, innovate processes, and engage with clients to deliver tax planning and compliance solutions. You will also motivate teams, utilize technical knowledge in energy incentives, and ensure operational excellence.

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.

Perform principal-level reviews of new business and in-force securities, mutual fund, annuity, and life transactions; conduct surveillance, escalate and investigate exceptions; maintain supervisory procedures; train staff; support regulatory exams and control improvements using surveillance tools and workflow automation.

Review and determine suitability for annuity, life insurance, and mutual fund transactions as a Registered Principal. Investigate escalated cases, guide agents, monitor trends and compliance risks, and lead process improvements to enhance controls, reporting, training, and operational effectiveness.

The Senior Corporate Auditor supports the corporate audit program by conducting audits, preparing reports, and ensuring compliance with internal controls. Responsibilities include planning audits, providing consultative guidance, and monitoring the implementation of audit recommendations. Travel to various locations for audit projects is required.

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.

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.

Manage client service accounts, solve complex tax problems, develop wealth management plans, and ensure quality deliverables for high-net-worth individuals.

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.

Lead and build enterprise risk and compliance for lending and marketplace fraud. Design a compliance management system, stand up BSA/AML and lending programs, own licensing and regulator relationships, establish fraud detection and operations, set enterprise risk framework, report to executives and Board, and recruit and scale the Risk & Compliance team.

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.

As a Risk Officer, you provide support for Wealth Management Platforms, manage audits, assess risks, collaborate across teams, and maintain compliance.

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.

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

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.

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