Top Compliance Jobs in NYC, NY

Manages payroll compliance programs, internal controls, audits, regulatory monitoring, and risk mitigation across multi-state operations. Serves as the UKG Pro and UKG Workforce Management subject-matter expert, reviewing configurations, controls, reporting, system changes, and payroll anomalies. Uses AI and analytics to improve audits, identify exceptions, document compliance activities, and enhance operational efficiency while partnering with Legal, HR, Finance, Tax, Benefits, Operations, and Internal Audit.

Supports the broker-dealer compliance program through FINRA registrations and filings, employee compliance and personal trading reviews, communications surveillance, marketing compliance, compliance system administration, branch examinations, policy testing, due diligence, and regulatory initiatives. The role provides guidance across the organization and helps enhance compliance policies and procedures in response to evolving business and regulatory requirements.

Provides compliance oversight, regulatory advice, effective challenge, and risk management for US Digital and Consumer Banking. The role monitors testing, issues, complaints, controls, and regulatory changes; advises business leaders; reviews new initiatives and AI-related risks; maps regulations to controls; and supports risk assessments, audits, exams, executive presentations, and remediation. The manager serves as a subject matter expert on consumer banking regulations and leads cross-functional efforts to strengthen compliance programs.

Executes second-line compliance and operational risk oversight for CFO Capital activities across U.S. and EMEA entities. Reviews market risk capital calculations, governance, controls, data quality, regulatory reporting, and related processes. Identifies and escalates risks, challenges control effectiveness, monitors regulatory changes, supports audits and regulatory inquiries, maintains regulatory inventories, and develops risk management reporting.

Executes independent, risk-based compliance testing and validation across bank business units. Researches regulations, develops test procedures, analyzes controls, identifies compliance issues, documents findings, validates corrective actions, and communicates results to management and business partners. The role also provides regulatory guidance, manages testing engagements, supports compliance initiatives, and contributes subject-matter expertise, mentoring, and process improvements.

Provide second-line compliance and operational risk oversight for front-line units, control functions, and third parties. Assess processes and controls, identify and escalate risks, manage inventories and metrics, analyze regulations, support reporting, and drive remediation to reduce compliance and operational risk for electronic trading activities.

Lead independent compliance testing reviews across consumer financial regulations, evaluating control design and effectiveness. Identify control gaps, recommend enhancements, analyze data, prepare testing reports, track remediation, and communicate risks to business partners and senior leadership. The role also supports audits, regulatory examinations, compliance initiatives, and data-driven testing capabilities while partnering across the organization to strengthen compliance risk management.

Own day-to-day compliance operations, including KYB/CDD and enhanced due diligence reviews, customer risk ratings, sanctions and blockchain screening, RFIs, alert investigations, and case documentation. The role also manages partner and audit requests, maintains compliance procedures, tracks operating metrics, and partners with engineering to automate manual workflows. Candidates should have fintech, payments, crypto, or banking compliance experience and knowledge of AML, FinCEN, FATF, and digital-asset requirements.

Leads banking and fintech compliance programs, including regulatory risk assessments, product and process reviews, marketing and disclosure approvals, sponsor-bank due diligence, policy and control management, and regulatory or internal audits. Partners with product, engineering, legal, operations, regulators, and financial institution partners to translate evolving requirements into actionable guidance and manage remediation.

Leads privacy compliance governance and operations for TD’s US Privacy Office. Responsibilities include reviewing and challenging Privacy Impact Assessments, supporting privacy incident remediation and reporting, coordinating privacy training and completion tracking, managing privacy designate lists and access, developing governance procedures, monitoring compliance programs, preparing executive and regulatory reports, supporting audits and examinations, and advising stakeholders on privacy, data governance, risk, and regulatory requirements.

Oversee investment compliance for public and private market portfolios, including due diligence, disclosure reviews, policy and guideline monitoring, trade error resolution, custodian coordination, annual compliance questionnaires, reporting metrics, and special projects. The role works with investment strategy, legal counsel, external managers, consultants, and pension system stakeholders to ensure adherence to applicable laws and investment requirements.

Leads the U.S. consumer compliance program, focusing on Regulation E and UDAAP controls across credit, prepaid, and digital asset products. Responsibilities include compliance reviews, consumer complaint analysis, error-resolution oversight, chargeback compliance, regulatory examinations, audits, remediation plans, policy management, and cross-functional implementation of consumer protection requirements. Provides secondary support for BSA/AML alignment, regulatory submissions, and executive reporting.

Plans, oversees, and occasionally executes independent compliance testing engagements. Leads testing from planning through reporting and issue follow-up, provides compliance methodology expertise, analyzes regulatory requirements and risks, guides stakeholders and team members, and escalates significant issues. The role also supports compliance program improvements, cross-functional initiatives, process efficiency, regulatory alignment, and team development.

Supports the Deposits Compliance team in operating the Compliance Management System for bank and fintech partner programs. Conducts due diligence, monitoring, reviews, control and risk-indicator assessments, policy and marketing-material reviews, issue research, remediation planning, and regulatory compliance support. Advises on consumer protection requirements involving payments, cards, checks, ACH, wires, and instant payments while collaborating with business units, partners, Legal, Risk, and Audit teams.

Leads compliance testing teams and ensures timely execution of testing plans, issue validation, regulatory alignment, and remediation activities. Provides strategic direction, analytical research, risk assessment, reporting, and guidance to senior management and business partners. Manages staff performance, development, hiring, and team priorities while improving compliance testing processes and responding to emerging regulatory requirements.

Lead AML/BSA, KYC/KYB, fraud, transaction monitoring, and sanctions compliance programs. Manage banking and financial institution relationships, oversee investigations and UAR/SAR processes, translate regulations into operational controls, coordinate audits and examinations, track regulatory developments, and deliver compliance training. Partner cross-functionally with Legal, Product, Engineering, and Operations to support responsible product growth and regulatory readiness.

Supports compliance operations for a futures commission merchant by monitoring CFTC, NFA, DCM, and DCO requirements; reviewing transaction alerts, communications, marketing materials, and customer risk; maintaining policies and supervisory procedures; assisting with AML/KYC, regulatory inquiries, examinations, filings, product launches, and remediation.

Prepares and reviews complex retirement plan compliance tests, government filings, Form 5500 packages, regulatory forms, plan documents, reconciliations, and allocation calculations. Researches and resolves compliance issues, supports audits, mentors team members, and helps improve department processes. The role requires retirement plan administration expertise, advanced mathematics, regulatory knowledge, and an ASPPA Qualified 401(k) Administrator designation.

Prepare and review complex retirement plan compliance tests, year-end packages, government filings, and regulatory forms including Forms 5500, 5330, and 8955-SSA. Reconcile plan assets, calculate contributions and corrective earnings, prepare plan documents, research compliance issues, support audits, and mentor team members. The role requires advanced retirement plan knowledge, accurate regulatory reporting, independent work, and collaboration across departments.

Leads insurance compliance and regulatory operations, including complex complaint escalations, Department of Insurance responses, carrier audits, complaint-log controls, regulatory reporting, and audit-ready documentation. Partners with Legal, Product, Engineering, and Operations to resolve systemic issues, implement compliance improvements, support claims investigations, and coach team members. Requires P&C licensing, substantial insurance and state regulatory compliance experience, knowledge of NAIC regulations and state insurance codes, and strong executive communication skills.

Reviews employee records, labor agreements, title specifications, and payroll data to determine salary maturation and additions-to-gross eligibility. Processes HR payroll transactions, investigates and corrects overpayments and underpayments, responds to employee salary inquiries, supports audits and grievance processes, prepares reports, and coordinates with payroll, HR, and accounting teams on salary adjustments and recoupments.

Monitors compliance for federally funded grant programs under 2 CFR Part 200. Reviews subrecipient agreements, budgets, risk assessments, audits, financial and performance reports, and supporting documentation. Conducts desk audits and site visits, tracks findings, recommends corrective actions, and supports resolution of deficiencies. Provides compliance training and technical assistance to programs staff, subrecipients, subcontractors, and vendors while documenting and reporting monitoring activities.

Owns and builds SentiLink’s FCRA compliance program for its consumer reporting business. Responsibilities include dispute intake and reinvestigation, permissible-purpose controls, accuracy monitoring, consumer complaints, client diligence, regulatory inquiries, litigation support, and partnering with Engineering and Product to automate compliance workflows.

Leads TP ICAP’s global Derivatives Compliance Advisory function across Rates, FX, money markets, and government bonds. Provides strategic regulatory guidance, manages international compliance teams, advises senior stakeholders, oversees new products and strategic initiatives, leads regulatory change and remediation programs, supports transaction reporting frameworks, delivers training, and represents Compliance at executive and regulatory forums.

Leads and enhances the bank’s fintech and consumer compliance program, overseeing embedded banking partnerships, risk monitoring, testing, regulatory examinations, audits, issue remediation, and compliance governance. Advises senior stakeholders on regulatory requirements, product development, customer-facing materials, emerging risks, complaints, training, reporting, and process improvements. Requires extensive banking-as-a-service knowledge and experience with consumer financial regulations.