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.

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.

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

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.

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.

The Chief Compliance Officer leads the compliance risk management program, ensuring adherence to laws and regulations, overseeing audits, and leading the compliance team.

The Senior Compliance Officer supports compliance monitoring and testing, executes testing engagements, and develops compliance metrics while collaborating globally to ensure regulatory adherence.

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