Top Compliance Jobs in NYC, NY

Lead Wells Fargo’s Futures Commission Merchant compliance program, advising senior Markets and Front Office leaders on regulatory and business matters. Build and mentor a high-performing compliance team, strengthen risk frameworks, identify emerging risks, oversee regulatory change and compliance monitoring, and partner with Legal, Audit, Risk, and domestic and international regulators. Drive enterprise-wide compliance strategy, organizational change, and sound risk-based decision-making across a highly regulated financial markets environment.

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.

Supports Corporate Audit, Risk Management, and Corporate Compliance through internal control testing, risk indicator reporting, policy reviews, regulatory research, monitoring procedures, and stakeholder presentations. Interns gain exposure to governance, regulatory oversight, ethical operations, and risk management while collaborating with professionals across these departments. The 10-week hybrid program is intended for enrolled undergraduate students graduating between December 2027 and May 2030.

Executes risk-based compliance reviews to independently validate business adherence to laws, regulations, and internal frameworks. The role tests regulatory requirements, data, automation, and controls; analyzes data; manages review schedules and documentation; supports audits and exams; and collaborates with compliance advisors, business teams, and analytics professionals to improve testing approaches. Strong judgment, problem-solving, communication, and professional skepticism are required.

Leads enterprise compliance testing across a financial institution, managing multi-tiered teams, testing methodologies, calendars, data scripts, reporting, and audit responses. Partners with compliance, data, technology, and business teams to improve testing through innovation, communicate significant findings to senior leadership, and ensure timely, accurate execution. The role requires substantial financial services compliance, risk, audit, people leadership, regulatory, and analytical experience.

Executes risk-based compliance reviews to independently validate business adherence to laws, regulations, and control frameworks. Tests business processes, data, automation, and regulatory controls; analyzes data; documents results; manages review schedules; supports audits and examinations; and partners with Compliance Advisors and business teams to improve testing approaches. The role requires strong judgment, skepticism, communication, and the ability to explain technical findings to nontechnical stakeholders.

Leads second-line compliance advisory and effective challenge for Capital One’s network and merchant businesses. Assesses laws, regulations, and emerging risks; develops network payments compliance expertise; supports new products, business expansions, and downstream entities; and collaborates with Business Risk, Legal, Audit, and senior leaders to strengthen the compliance and risk management framework.

Lead Flex’s product compliance function across lending and payments, embedding regulatory oversight throughout the product lifecycle. Build scalable governance, risk-tiered reviews, and AI-enabled compliance workflows, including automated monitoring and agent-based review systems. Partner with Product, Engineering, Legal, Risk, Marketing, bank partners, and regulators to guide compliant innovation, resolve issues, and strengthen controls. Lead and develop the product compliance team in a high-growth fintech environment.

Leads second-line financial crime compliance oversight for Wise’s North American operations, focusing on AML and fraud investigations, customer due diligence, controls, regulatory compliance, SAR oversight, risk assessments, and KRIs. Advises stakeholders, challenges first-line controls, supports regulatory implementation, presents to regulators and auditors, and helps shape compliance strategy. The role is based in New York with three days of in-office work and requires U.S. work authorization without visa sponsorship.

Provides second-line compliance oversight for Futures Commission Merchant activities, enhancing compliance programs, conducting risk assessments and monitoring, advising business leaders, challenging risk practices, escalating deficiencies, interpreting regulations, supporting regulatory examinations, preparing governance reports, overseeing futures trading and clearing risks, and developing compliance training.

Provides second-line compliance oversight and advisory support for an equities sales and trading business. Responsibilities include monitoring risk-based compliance programs, overseeing CAT and other transaction reporting, maintaining controls and standards, assessing and remediating compliance issues, advising stakeholders on regulations, and presenting risk metrics to management and governance committees. The role partners with Audit, Legal, Risk, and regulators and requires expertise in equity products, trading environments, and regulatory reporting.

Advises sales, trading, treasury derivatives, and operations teams on CFTC, NFA, and futures exchange requirements. Supports the Swap Dealer Compliance program through risk assessments, root cause analysis, control reviews, policy maintenance, reporting, compliance testing, surveillance coordination, training, audits, regulatory inquiries, and remediation of control gaps. Partners with legal, business leaders, regulators, and industry groups to interpret and implement new requirements.

Own and enhance the AML program for digital asset clients, including KYC, KYB, KYT, enhanced due diligence, transaction monitoring, investigations, and SAR filing determinations. Lead Chainalysis implementation, configuration, alert-rule development, and risk calibration. Manage case workflows, identify blockchain transaction typologies, coordinate with legal and technology teams, and respond to regulators and law enforcement across global jurisdictions.

Leads quarterly and annual income tax provision processes under ASC 740, SEC tax reporting, and U.S. federal and state tax compliance. Reviews tax calculations, disclosures, reserves, book-to-tax adjustments, and filings; supports audits, examinations, planning, transactions, SOX controls, and process improvements. Partners with accounting, legal, treasury, auditors, and external tax providers while managing compliance workstreams and developing tax technology capabilities.

Own compliance advisory for the Affirm Card program across marketing, onboarding, payments, disputes, servicing, and new product features. Apply consumer finance regulations, review disclosures and UX, lead root-cause analysis and remediation, maintain risk assessments and controls, support regulatory exams and audits, and develop compliance training. Partner closely with Product, Engineering, Operations, Legal, Risk, and senior leadership to make independent, risk-based decisions.

Administer the compliance testing program by conducting regulatory reviews, reporting findings, identifying control gaps, and coordinating remediation. Partner cross-functionally with Legal, Risk, Product, Engineering, Operations, and management. Support compliance risk assessments, control inventory, process improvements, and regulatory analysis for new or revised products and services.

Develops compliance analytics for AML, sanctions, and consumer compliance programs. Builds data pipelines, dashboards, scorecards, automated reporting, and data quality processes using dbt, GitLab, Python, SQL, Tableau, and Snowflake. Translates regulatory requirements into actionable insights, risk indicators, and metrics while communicating findings to senior management and regulatory stakeholders.

Performs Level 2 sanctions alert reviews for fiat and cryptocurrency transactions, makes case disposition decisions, conducts on-chain investigations, and provides sanctions guidance. Supports screening oversight, regulatory reporting, policy and procedure development, regulatory monitoring, risk-based projects, and team mentoring. Requires financial institution or government sanctions experience, OFAC and BSA/AML knowledge, blockchain analytics expertise, and strong communication skills.

Leads second-line compliance and operational risk oversight for Kinexys and CIB Payments. Assesses risks associated with new products, technologies, vendors, client onboarding, blockchain, and digital assets. Develops risk frameworks, monitors regulatory changes, supports controls and process improvements, and collaborates with Compliance, Legal, Product, Audit, Finance, and other stakeholders to deliver compliant business outcomes.

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.

Leads and builds CoreWeave’s global enterprise risk and compliance function, including ERM frameworks, risk assessments, KRIs, risk appetite, governance, assurance coordination, compliance tracking, and Board and Audit Committee reporting. The role develops a risk team, partners across Security, Legal, Finance, IT, and Operations, and establishes scalable processes for a high-growth AI infrastructure company.

Own U.S. federal tax reporting, compliance, and ASC 740 tax provision activities for a consolidated financial services group. Manage outsourced compliance providers, federal filings, tax audits, international tax coordination, tax research, controls, disclosures, and process automation. Partner with Accounting, Legal, Treasury, Operations, Engineering, auditors, and senior stakeholders while helping build scalable tax processes and SOX-ready controls.

Own Motive’s global financial products compliance program across AML/BSA, sanctions, KYC/KYB, PEP screening, transaction monitoring, lending compliance, audits, and regulatory relationships. Develop policies and controls, ensure operational effectiveness, manage bank and card network partners, monitor regulatory changes, support compliant product launches, and establish governance across multiple jurisdictions including the US, Canada, and UK/EU. Build the compliance function and advise leadership on compliance risk.

Manage end-to-end KYC and KYB onboarding for institutional clients, corporate entities, funds, trusts, and HNWIs. Conduct enhanced due diligence, assess regulatory and financial crime risks, investigate anomalies, and escalate concerns. Maintain compliance with AML, CFT, sanctions, privacy, and global regulatory requirements. Collaborate with sales and relationship teams, optimize onboarding workflows, support audits, maintain accurate records, track metrics, and assist with analyst training and policy updates.

Supports trading-platform compliance through maintaining Written Supervisory Procedures, coordinating AML and SCI initiatives, tracking projects, assisting with regulatory exams and audits, and responding to subscriber questions. The role collaborates with Operations, Technology, Compliance, and Subscriber Services teams while analyzing data and supporting remediation and special projects.