Top Compliance Manager Jobs in NYC, NY

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.

Lead and manage multi-state money transmitter licensing, regulatory reporting, and examination support across the U.S.; coordinate regulator communications, filing calendars, and licensing strategy; support product and geographic expansion; oversee remediation, external counsel, and mentor licensing staff.

Lead and manage multi-state money transmitter licensing, regulatory reporting, and exam coordination. Own filings, regulator communications, licensing inventories, change-of-control matters, and licensing support for product and geographic expansion. Monitor regulatory developments, coordinate external counsel, and manage/mentor licensing personnel.

Manage BSA/AML program activities including transaction monitoring investigations, SAR drafting, AML controls execution, case management, reporting, and regulatory/audit support. Ensure timely, documented investigations and support remediation and governance activities.

The Fintech Compliance Lead will enhance the compliance program, lead fintech partnerships, evaluate risks, advise stakeholders, and support audits and training.

Lead and develop a team responsible for pre- and post-trade portfolio compliance monitoring, interpreting investment guidelines, managing breaches, and supporting board reporting and regulatory exams. Advise on product launches and onboarding, enhance compliance systems and data quality, drive process improvements, and train investment teams and trading desks.

The Audit Manager I will lead audit engagements, oversee audit processes, mentor staff auditors, and enhance risk management. They ensure audits align with regulatory guidelines and maintain communication with management regarding audit status and findings.

Lead and oversee independent, risk‑based compliance testing and validations for wealth-related regulatory requirements. Manage teams, design and execute testing engagements, report findings, validate remediation, and advise stakeholders on compliance controls, regulatory interpretation, and risk mitigation to ensure program effectiveness and regulatory adherence.

The Audit Manager II oversees audits focusing on compliance with regulations, leads audit engagements, and supports risk management strategies.

The Compliance Business Oversight Manager oversees compliance in Consumer Banking, ensuring adherence to regulations, managing compliance risks, and advising stakeholders on best practices.

The Compliance Manager will operationalize Aspen's RIA compliance standards into scalable workflows and systems while supporting regulatory requirements and enhancing compliance technology usage.

Design, implement, and administer the firm's enhanced-risk monitoring and supervision framework for clients, employees, advisors, and business practices. Develop risk-scoring and high-risk criteria, oversee enhanced due diligence, manage heightened supervision plans, perform risk assessments, produce dashboards and reports, and support regulatory readiness and audit documentation.

Lead design and implementation of a financial compliance program (COSO/AICPA), perform risk assessments, document processes and controls, execute periodic testing and remediation, manage deficiency tracking, coordinate with external auditors, and report control status to the CFO and executive leadership.

Owner of fraud, collections, and back-office compliance for Mission Lane's credit card business. Serve as embedded compliance authority, manage escalations, run testing and monitoring of controls, identify gaps, provide regulatory guidance, partner with business and Legal, and support program strategy and exam readiness.

Manage the compliance risk program for mortgage lending by developing policies, ensuring adherence to laws, and conducting risk assessments.

The Tax Compliance Manager will oversee tax compliance, reporting, and planning, manage filings, coordinate with auditors, and maintain tax processes.

The Treasury & Compliance Manager ensures accurate execution of capital movements and regulatory compliance across funds, overseeing cash operations, regulatory filings, and risk management processes.

Manage international tax compliance for Sony Corporation, including tax reporting, preparation and review of income tax returns, and liaison with business units.

Manage day-to-day execution of SOX program including controls and testing, lead a global team, optimize processes, and collaborate with auditors.

Lead government accounting operations, ensuring compliance with regulations, managing a remote team of accountants, and optimizing processes for operational efficiency.