Top Compliance Analyst Jobs in NYC, NY

Lead AML/CTF program for a CFTC-registered prediction market: develop policies, conduct risk assessments, oversee transaction monitoring and KYC/CDD, manage SARs and regulator interactions, deliver training, and update procedures for regulatory changes.

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 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.

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.

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.

Support compliance monitoring, testing, and branch audits for acquired firms during integration. Conduct risk assessments, audits, and branch exams; identify trends, document workpapers, track remediation action plans, assist policy development, and report to Compliance leadership while staying current on regulatory developments.

The role involves managing payment network compliance for sponsored clients, handling merchant registrations, guiding stakeholders on compliance rules, and improving workflows.

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.

Design and execute test scenarios for payroll tax compliance changes, validate tax calculations and outputs, document test results, manage defect lifecycle, collaborate with Compliance and Development to resolve issues, maintain test documentation and scenario libraries, and contribute to testing process improvements.

Perform transaction monitoring and AML investigations, conduct KYB onboarding and due diligence, prepare risk summaries and SAR/STR support, respond to regulatory requests, and improve compliance operations while covering US banking hours.

Execute end-to-end onboarding for complex institutional, corporate, and HNWI clients. Perform KYB/KYC, Enhanced Due Diligence, PEP and sanctions screening, escalate risks, support audits, optimize onboarding workflows, and partner with Sales and Risk to maintain compliance with AML/CFT and privacy regulations.

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.

Monitor federal, state, and local tax agencies for payroll-related regulatory changes; research and interpret routine requirements; document authoritative guidance and data needs; create clear change requests for downstream teams; maintain agency relationships and audit-ready records; communicate updates to stakeholders and support process improvement initiatives.

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.

Provide compliance oversight for deposit products and back-office operations, perform change risk assessments, manage issue and regulatory change management, monitor complaints and controls, validate first-line testing, map controls to regulatory requirements, and partner with business and compliance stakeholders to remediate gaps and ensure regulatory alignment.

Perform onboarding and ongoing compliance oversight for Registered Investment Advisor (RIA) representatives, including U4/U5 and ADV 2B filings, monitoring Outside Business Activities, compliance testing, regulatory research, responding to inquiries, and coordinating with internal stakeholders to mitigate compliance risks.

Monitor real-time and historical derivatives trading to detect market abuse, investigate flagged transactions, prepare investigative reports, ensure regulatory compliance, support KYC/AML enforcement, and collaborate with Legal, Risk, and Technology to improve surveillance protocols.

Provide compliance support for PWM Capital Markets within Wealth Management, advising on capital markets products, managing regulatory projects, updating policies, conducting thematic and forensic reviews, executing surveillance, and ensuring activities comply with U.S. securities laws.

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.