Top Compliance Jobs in NYC, NY

Execute end-to-end risk-based operational and compliance audits (scoping, testing, reporting, remediation validation). Identify control gaps, perform root cause analysis, draft actionable recommendations, manage audit requests and stakeholders, validate remediation, and partner with Operations, Compliance, Risk, Finance, and Legal while maintaining third-line independence.

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 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.

Lead compliance advisory and oversight for Wealth Services, focusing on US broker-dealer and RIA activities. Provide senior guidance on Managed Account Solutions, corporate actions, trading, reporting, and account reconciliation. Analyze regulations, conduct risk assessments, support controls and monitoring, and collaborate with business leaders to implement compliance frameworks and mitigate vulnerabilities.

Lead wholesale banking compliance for commercial lending, commercial and private banking. Advise executives, maintain policies, manage regulatory filings, run risk-based testing, oversee audits, report to management, and manage staff and remediation.

Lead SOX compliance and internal audit activities: document and assess controls, design and execute tests, manage remediation, support SOX in projects, plan and perform risk-based audits, prepare reports with recommendations, and follow up on management action plans.

The Senior Corporate Auditor supports the corporate audit program by conducting audits, preparing reports, and ensuring compliance with internal controls. Responsibilities include planning audits, providing consultative guidance, and monitoring the implementation of audit recommendations. Travel to various locations for audit projects is required.

Manage BSA/AML program activities including transaction monitoring investigations, SAR drafting, AML controls execution, case management, reporting, and regulatory/audit support. Ensure timely, documented investigations and support remediation and governance activities.

The analyst will research filing requirements, prepare and monitor P&C rate filings, communicate revisions, support compliance operations, and monitor regulations pertinent to assigned products.

Lead and manage U.S. tax compliance and reporting, oversee global tax provision calculations, and provide strategic tax advisory services while mentoring team members.

Support and enhance the firm's enterprise compliance risk program by executing and overseeing RCSAs, managing risk/control inventories and taxonomy, liaising on methodology, analyzing assessment trends, building dashboards and reports, supporting UAT/system enhancements, and responding to regulatory and internal reviews.

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.

Supports enterprise and operational risk and compliance oversight for AustralianSuper’s US business. Responsibilities include embedding the risk management framework, leading second-line control testing, overseeing incident management, assessing regulatory obligations, preparing governance reports, coordinating with Internal Audit, and advising stakeholders on risk and control improvements. The role also supports risk culture, regulatory awareness, stakeholder engagement, and cross-border alignment across US and Australian operations.

Provide compliance oversight for deposit products and back-office operations, perform change risk assessments, manage issue and regulatory change management, monitor complaints and controls, validate first-line testing, map controls to regulatory requirements, and partner with business and compliance stakeholders to remediate gaps and ensure regulatory alignment.

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

The BSA/AML Compliance Associate will support the bank's compliance programs, focusing on transaction monitoring, alert review, and SAR drafting, while collaborating with various stakeholders.

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.

Own and build Relay’s end-to-end fintech compliance program covering AML, sanctions, KYB/CDD, regulatory change, monitoring, testing, investigations, and sponsor-bank relationships. Establish evidence-driven controls, automate operations with AI, support product launches, manage exams and audits, report to leadership and the board, and hire and develop the compliance team.

Provides compliance coverage for equities sales, trading, and strategy personnel within Global Markets. Advises on regulatory requirements, evaluates new business initiatives, develops policies and training, supports audits and regulatory examinations, conducts compliance look-backs, manages escalations, and analyzes regulatory changes to mitigate compliance and reputational risks.

Supports registered fund compliance programs for mutual funds, ETFs, and closed-end funds. Responsibilities include compliance surveillance, investment guideline alerts, policy administration under SEC rules, fund launches, board reporting, annual and quarterly assessments, and coordination with fund administration, legal, risk, auditors, law firms, and service providers. The role also provides compliance guidance across client accounts and prepares regulatory and management materials.

Lead and manage internal and external financial, compliance, and programmatic audits. Evaluate internal controls, perform risk assessments and transactional testing, review IT general controls and third-party reports, document key processes, analyze financial data, draft findings and management action plans, and coordinate with external auditors. Drive improvements to controls and support special projects as assigned.

Perform surveillance and monitoring of firm systems, review and address flagged issues, conduct email surveillance, prepare regulatory filings, assist with exams and investigations, deliver compliance training, update policies, review employee requests, and partner with Technology to improve internal review systems.

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.

Support financial investigations and litigation matters by preparing proposals and workplans, conducting financial analysis of records, documenting findings, mastering investigative tools, performing quality control, and preparing client deliverables. Assist case managers, identify patterns and anomalies, verify findings, follow leads within project constraints, and present clear, accurate conclusions to clients.