Top Compliance Analyst Jobs in NYC, NY

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.

Perform enhanced due diligence on high-risk customers and transactions; review screening alerts (WorldCheck, Clear, LexisNexis); prepare SARs and FinCEN 314a searches; maintain client KYC/risk profiles; manage sanctions/OFAC reporting; conduct adverse media and employee screening; optimize screening system configurations; draft AML procedures; support audits, training, and cross-functional AML inquiries and escalations.

Support Research Compliance by overseeing consultant interactions and custom projects, chaperoning and documenting consultant calls, maintaining compliance policies and systems, recommending policy improvements, and partnering with investment professionals and compliance team members.

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 Junior Compliance Analyst will support compliance onboarding, manage ethics policies, administer the PAD program, and coordinate regulatory filings while contributing to compliance system evaluations and policy updates.

Review retail advertising and marketing communications for compliance with firm policy, FINRA and SEC rules; document and retain records; explain required changes to submitters; research policy questions; maintain internal compliance materials; follow vendor workflows; assist team members and meet service-level timeframes.

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.

The Senior Compliance Testing Analyst is responsible for executing independent compliance testing and validations, assessing the effectiveness of controls and regulatory compliance in the bank's operations while providing expertise and managing testing activities.

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.

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.