Top Compliance Manager Jobs in NYC, NY

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.

Oversee financial crime compliance for North American onboarding and customer due diligence programs, focusing on AML and fraud investigations. Advise stakeholders on BSA, AML/CTF, OFAC, and related regulations; challenge and approve controls, products, and process changes; represent compliance to regulators and auditors; support SAR governance and risk assessments; monitor KRIs and management information; identify risks and coordinate mitigation plans.

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.

Leads network compliance risk management for Capital One’s network and merchant businesses. Provides compliance advice and effective challenge, evaluates laws and regulations, identifies emerging payments risks, supports new products and business expansions, and strengthens the compliance program within the three-lines-of-defense framework. Partners with Business Risk, Legal, Audit, and senior leaders while serving as a subject matter expert for payments and network compliance.

Lead risk and compliance activities for a high-risk banking environment: prepare for audits and regulatory exams, draft policies and governance, evaluate internal controls, run risk assessments and gap analyses, maintain training, monitor regulatory changes, and produce KRI/KPI Board-level reporting.

Manage tax planning, compliance, and reporting across a multi-entity organization. Serve as primary tax authority, coordinate with external advisors, oversee partnership and indirect tax compliance, maintain filing calendar, handle information reporting (1099/1042), support international tax matters, liaise with government authorities, and improve tax processes and controls.

Lead enterprise-wide compliance and financial-crime risk assessments, evaluate controls and residual risk, produce executive reports, partner with MLROs/CCOs globally, drive transaction monitoring and customer risk scoring coverage, update geographic risk ratings, develop threat assessment frameworks, and pioneer AI-powered automation while maintaining human oversight.

Lead independent compliance oversight for Corporate Office Compliance programs (Regulation O, Regulation W, Volcker Rule). Provide regulatory guidance, credible challenge, monitoring, reporting, training, issue remediation, and governance support. Coordinate with Legal, Finance, Risk, Audit, and vendors; support examinations and audits; identify emerging risks and drive program improvements. Coach team members and deliver executive-ready reporting to senior management and regulators.

Leads U.S. compliance work across BSA/AML, consumer financial protection, banking, payments, and card-network requirements. Reviews transaction-monitoring alerts, investigates suspicious activity, prepares SAR recommendations, and handles sanctions, PEP, and other high-risk cases. Translates regulations into controls and procedures, advises product and engineering teams, improves KYC/KYB and monitoring processes, supports audits and examinations, and manages relationships with regulators, banking partners, and internal stakeholders.

Build and operate the Trust Bank’s Compliance Management System, leading fiduciary compliance, third-party risk, affiliate transactions, privacy, UDAP, regulatory monitoring, training, and compliance reporting. The role prepares Board and committee materials, supports audits and examinations, drafts policies and procedures, and provides second-line oversight across risk assessments, monitoring, testing, and issue management.

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

Lead second-line compliance oversight for U.S. Corporate Office programs. Provide regulatory advice, assess program design and controls, drive compliance risk management activities, manage escalations, partner with Legal/Finance/Audit/Technology, prepare executive reporting, and mentor team members to ensure regulatory requirements are identified, assessed, and remediated.

Lead design and daily operation of the Capital Partners compliance program, ensuring regulatory filings and controls for exempt reporting advisers and Bermuda investment entities. Monitor legal/regulatory developments, design risk-based testing, respond to regulators, support investor due diligence, provide training, and collaborate with global legal, risk, finance, and business teams.

Serve as the Line of Business Compliance Officer for U.S. Corporate Card Programs, providing independent, second-line oversight. Assess compliance risk for products, features, marketing, disclosures, and digital journeys; support CRA, RCIM, KRIs, and RBST; identify and drive remediation of compliance issues; collaborate with Legal, Audit, Financial Crimes, Privacy and other stakeholders; assist with regulatory examinations and inquiries.

Provide independent second-line compliance oversight for U.S. Corporate Office programs. Support design, implementation, assessment, and monitoring of regulatory compliance management activities; advise stakeholders, manage regulatory reviews and escalations, prepare reporting and audit responses, and drive remediation. Partner with Legal, Risk, Finance, Audit, Technology and business units to identify and mitigate compliance risk across jurisdictions.

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.

Lead restricted donation tracking and reporting, design and maintain a global internal controls framework, oversee financial compliance and tax filings (Brazil and U.S.), partner with Fundraising and regional teams to embed controls, support investment strategy, perform financial analyses, and communicate financial information across functions and geographies.

Provide fractional compliance advisory to alternative investment firms and family offices: develop and implement compliance programs, Form ADV filings, policies, controls, training, regulatory exam readiness, risk assessments, remediation, and ad-hoc projects.

Lead and manage the end-to-end SOX compliance program: scope and execute annual testing, maintain the Risk and Control Matrix, perform risk assessments, test ITGCs and application controls, coordinate with external auditors, remediate deficiencies with cross-functional partners, and drive process and documentation improvements using technology.

Provide senior-level, independent compliance oversight for Payment Operations covering ACH, wires, check processing, returns, disputes, error resolution, and related controls. Advise on payment regulations, assess operational and vendor changes, monitor emerging payment risks, support remediation and regulatory responses, and partner with business, technology, legal, and risk teams to strengthen controls and governance.

Lead and manage complex financial investigations, forensic accounting and compliance engagements. Oversee case teams, perform interviews and internal controls testing, write client-focused reports, manage client relationships, support business development and proposals, and ensure high-quality case delivery and administrative management.

Lead and manage financial investigations and compliance engagements including scoping, evidence collection, forensic accounting, asset tracing, interviews, internal control testing, and report writing. Interface with clients, supervise junior staff, prioritize multiple cases under tight deadlines, and support business development and cross-office collaboration.

Provide second-line compliance and operational risk oversight for Global Markets; assess FLU processes and controls, identify and escalate risks, support regulatory inquiries and exams, develop risk reporting and monitoring, review new business and surveillance escalations, coordinate with legal and control functions, and maintain policies, training and regulatory change awareness.

Lead end-to-end compliance due diligence and control reviews for prospective payments clients. Assess complex business models, payment flows, and regulatory requirements; recommend onboarding decisions; advise on AML/BSA, sanctions, CIP/CDD/EDD; partner with banks, payment networks, and internal stakeholders; improve onboarding policies, SOPs, and governance; mentor junior compliance staff and monitor regulatory and card network developments.

Lead end-to-end SOX/ICFR program for assigned businesses: manage risk assessments, control design and testing (TOD/TOE), remediation, stakeholder governance, and continuous improvement. Oversee audit workpapers, evaluate deficiencies, drive remediation and automation/rationalization initiatives, and coach the team to strengthen control culture across Finance, Operations, Technology, and business units.