Top Compliance Officer Jobs in NYC, NY

Lead compliance for prime brokerage and equities: develop and enforce regulatory policies, monitor trading and brokerage activities, manage risk and controls, liaise with regulators, and lead a compliance team to ensure adherence to SEC/FINRA and internal standards.

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

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.

Review marketing materials for compliance with FINRA and SEC rules, draft disclosures, submit materials to FINRA, and advise advisers on marketing issues.

Support and administer Swap Dealer and Security-Based Swap Dealer compliance program: perform risk assessments, monitoring, testing and surveillance; advise business on regulatory developments and new products; identify and remediate compliance gaps; maintain compliance reporting and data analysis; interact with auditors/regulators and provide guidance to first line of defense.

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.

The Compliance Officer ensures adherence to regulatory standards through inspections, training, policy updates, and investigations, requiring strong analytical skills and clear communication.

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 Regional Compliance Officer will advise Wealth Management teams on compliance, conduct risk, and regulatory issues while overseeing risk management and compliance initiatives within the region.

Lead PIMCO's global compliance program, ensuring governance, regulatory alignment, and effective risk management while mentoring a high-performing team and enhancing operational resilience.

Execute risk-based compliance monitoring and testing to validate bank adherence to laws and regulations. Develop workpapers, report findings with root-cause analysis, verify remediation, perform complaint and data analytics, use social media listening and AI tools for marketing compliance, and support annual risk assessments while maintaining stakeholder relationships.

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.