Top Compliance Officer Jobs in NYC, NY

Senior AML compliance officer supporting the Enterprise AML Compliance Officer across program strategy, sanctions compliance, transaction monitoring, escalation review, training, policy/risk assessments, regulatory readiness, and VAFA. Leads case oversight, sanctions investigations, alert program tuning, AML training design/delivery, metrics/reporting, and cross‑functional coordination to strengthen a risk‑based enterprise AML program.

Supports credit compliance across TD Securities’ corporate lending portfolio. Responsibilities include reviewing deal documentation and covenants, maintaining LoanIQ profiles, monitoring reporting requirements, managing exceptions, reconciling compliance reports, maintaining records, coordinating with lending and operations teams, supporting audits and regulatory reviews, and improving compliance processes and controls.

Lead and scale compliance for an RIA and Broker-Dealer: own policies, surveillance, product reviews, regulatory exams (SEC/FINRA), compliance training, and embed compliance into product and engineering to enable fast, safe growth.

Lead and maintain the FCM and Introducing Brokers compliance program, ensure CFTC/CME rule adherence, manage regulatory exams and reporting, enhance surveillance and control frameworks, perform risk-based testing, advise business and tech teams, and deliver targeted compliance training.

Lead consumer banking and BaaS compliance efforts: assess regulatory actions, advise business teams on payments and consumer regulations, review new products, develop monitoring and reporting, remediate control gaps, and interface with regulators and executives. Drive compliance programs, risk-based client reviews, and documentation updates to align products and controls with regulatory and internal risk tolerance.

The Senior Compliance Officer will lead compliance monitoring, testing, and resource management, develop metrics, and ensure effective stakeholder communication to uphold regulatory standards.

Review and approve marketing and advertising materials for proprietary and third-party funds and advisory programs to ensure FINRA and SEC compliance; draft disclosures; submit materials to FINRA and manage correspondence; advise broker-dealer and investment advisers on marketing issues; assist with preparation and amendments of Form ADV filings.

Support and administer the firm's compliance program across private equity, private debt, and ETF products. Monitor SEC and Investment Advisers Act compliance, perform testing and surveillance, assist with regulatory filings and exams, coordinate with cross-functional teams, support product launches (including digital asset ETFs), investigate issues, maintain records, and prepare board reporting.

Provide compliance coverage for equity and debt capital markets: advise on private placements, underwriting and liability management; develop policies and procedures; advise on cross-border and Reg BI issues; monitor MNPI, conflicts and wall-crossing; deliver training; support regulatory developments, exams and audits; partner with senior business leaders to embed compliance into transactions and risk decisions.

Join Arootah's advisor network to provide fractional Chief Compliance Officer–level, project-based compliance leadership for hedge funds, private equity firms, and family offices. Advise on SEC/regulatory matters, design and improve compliance programs, conduct reviews and risk assessments, support exams and due diligence, and partner with leadership to strengthen governance and controls.