Top Compliance Manager Jobs in NYC, NY

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.

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.

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.

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.

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.

Manages payroll compliance programs, internal controls, audits, regulatory monitoring, and risk mitigation across multi-state operations. Serves as the UKG Pro and UKG Workforce Management subject-matter expert, reviewing configurations, controls, reporting, system changes, and payroll anomalies. Uses AI and analytics to improve audits, identify exceptions, document compliance activities, and enhance operational efficiency while partnering with Legal, HR, Finance, Tax, Benefits, Operations, and Internal Audit.

Provides compliance oversight, regulatory advice, effective challenge, and risk management for US Digital and Consumer Banking. The role monitors testing, issues, complaints, controls, and regulatory changes; advises business leaders; reviews new initiatives and AI-related risks; maps regulations to controls; and supports risk assessments, audits, exams, executive presentations, and remediation. The manager serves as a subject matter expert on consumer banking regulations and leads cross-functional efforts to strengthen compliance programs.

Provide second-line compliance and operational risk oversight for front-line units, control functions, and third parties. Assess processes and controls, identify and escalate risks, manage inventories and metrics, analyze regulations, support reporting, and drive remediation to reduce compliance and operational risk for electronic trading activities.

Lead independent compliance testing reviews across consumer financial regulations, evaluating control design and effectiveness. Identify control gaps, recommend enhancements, analyze data, prepare testing reports, track remediation, and communicate risks to business partners and senior leadership. The role also supports audits, regulatory examinations, compliance initiatives, and data-driven testing capabilities while partnering across the organization to strengthen compliance risk management.

Leads privacy compliance governance and operations for TD’s US Privacy Office. Responsibilities include reviewing and challenging Privacy Impact Assessments, supporting privacy incident remediation and reporting, coordinating privacy training and completion tracking, managing privacy designate lists and access, developing governance procedures, monitoring compliance programs, preparing executive and regulatory reports, supporting audits and examinations, and advising stakeholders on privacy, data governance, risk, and regulatory requirements.

Leads the U.S. consumer compliance program, focusing on Regulation E and UDAAP controls across credit, prepaid, and digital asset products. Responsibilities include compliance reviews, consumer complaint analysis, error-resolution oversight, chargeback compliance, regulatory examinations, audits, remediation plans, policy management, and cross-functional implementation of consumer protection requirements. Provides secondary support for BSA/AML alignment, regulatory submissions, and executive reporting.

Plans, oversees, and occasionally executes independent compliance testing engagements. Leads testing from planning through reporting and issue follow-up, provides compliance methodology expertise, analyzes regulatory requirements and risks, guides stakeholders and team members, and escalates significant issues. The role also supports compliance program improvements, cross-functional initiatives, process efficiency, regulatory alignment, and team development.

Leads compliance testing teams and ensures timely execution of testing plans, issue validation, regulatory alignment, and remediation activities. Provides strategic direction, analytical research, risk assessment, reporting, and guidance to senior management and business partners. Manages staff performance, development, hiring, and team priorities while improving compliance testing processes and responding to emerging regulatory requirements.

Leads and enhances the bank’s fintech and consumer compliance program, overseeing embedded banking partnerships, risk monitoring, testing, regulatory examinations, audits, issue remediation, and compliance governance. Advises senior stakeholders on regulatory requirements, product development, customer-facing materials, emerging risks, complaints, training, reporting, and process improvements. Requires extensive banking-as-a-service knowledge and experience with consumer financial regulations.

Manages regulatory compliance monitoring and testing for a fintech financial services platform. Designs testing protocols, audits lending disclosures and credit notices, reviews marketing and complaint trends, monitors regulatory changes, conducts compliance audits, and recommends remediation. Partners with legal, compliance, business, and operational teams to identify risks and implement practical controls across U.S. lending products.

Manage regulatory licensing, reporting, examination readiness, obligation inventories, control assessments, remediation tracking, and regulatory submissions for Mastercard’s payments and digital assets business. Coordinate with Legal, Compliance, Risk, Operations, Product, Finance, and business teams across U.S. and international jurisdictions. Prepare regulator communications, board and management reporting, compliance metrics, risk assessments, and evidence supporting examinations and licensing obligations.

Oversee multi-state and local tax compliance across multiple entities and jurisdictions, including sales and use tax filings, registrations, audits, notices, tax accruals, and risk mitigation. Manage and mentor a Sales Tax Specialist, coordinate income and franchise tax matters with external firms, maintain Avalara and NetSuite integrations, support tax configuration, and improve compliance processes and reporting.

Leads domestic and international royalty, licensing, participation, and contract compliance audits from planning through settlement. Responsibilities include risk assessment, contract interpretation, financial and operational testing, data analysis, client reporting, recovery quantification, negotiations, quality assurance, and staff supervision. The role manages multiple engagements, collaborates with legal, finance, licensing, and client teams, and uses analytics and visualization tools to identify anomalies and improve compliance programs.

Oversee internal audits, regulatory compliance, internal controls, risk management, governance, and fraud investigations. Plan and execute audits, identify control weaknesses, recommend corrective actions, prepare reports, monitor remediation, support external audits and regulatory inspections, and collaborate with stakeholders to improve operational efficiency and compliance.

Manages U.S. partnership tax compliance, including Forms 1065, K-1s, state filings, allocations, basis, capital accounts, and partner reporting. Oversees tax accounting, financial reporting support, audits, notices, data administration, controls, filing calendars, and external tax advisors. Coordinates stakeholders across finance, accounting, legal, and business units while leading process improvements, system implementations, M&A tax projects, and recurring compliance cycles for multiple entities.

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.

Own AML compliance frameworks, taxonomies, and regulatory intelligence supporting Socure’s platform. Partner with Engineering, Data Science, Product, Sales, and Customer Success to translate OFAC, FATF, FinCEN, and global requirements into product strategy, customer guidance, and scalable advisory services. Support enterprise compliance due diligence, audits, regulatory inquiries, and customer program design while developing automation to reduce operational burden.

Provides compliance advisory and surveillance coverage for futures, commodities, and swaps businesses. Develops policies aligned with CFTC, NFA, and exchange requirements; assesses risks; supports examinations and audits; monitors regulatory changes; strengthens supervisory and surveillance controls; coordinates regulatory responses; and conducts trade reconstructions and audit-trail reviews across electronic and voice transactions.

Provides second-line compliance advisory oversight for personal lending products across the full lifecycle. Responsibilities include assessing regulatory risks and controls, developing policies and procedures, advising business partners, supporting monitoring and testing, managing regulatory changes and compliance issues, preparing risk reporting, and using AI to analyze compliance information. Requires strong knowledge of consumer lending laws, risk management, and banking compliance.