Top Compliance Jobs in NYC, NY

The Senior Audit Director will lead internal audits for BBH's Investor Services, manage teams, advise on risk and control issues, and represent the department at senior management forums.

The Senior Wealth Advisor manages client relationships, delivers wealth management services, and supports growth through referrals and marketing, all in a remote, independent capacity.

As a Risk Officer, you provide support for Wealth Management Platforms, manage audits, assess risks, collaborate across teams, and maintain compliance.

The Compliance Analyst will assist the General Counsel in developing compliance policies, manage compliance deadlines, administer the Code of Ethics, and coordinate regulatory filings.

The Director, Compliance and Control will manage investment adviser compliance programs, ensure regulatory adherence, support strategic business initiatives, and develop policies in line with regulations.

The Vice President of Compliance leads the Trade Surveillance team, overseeing regulatory requirements, managing risks, advising business units, and developing compliance practices while ensuring effective collaboration with stakeholders.

The Compliance Director oversees regulatory compliance functions, mentors compliance professionals, and collaborates with stakeholders to ensure adherence to regulations.

Perform compliance audits, prepare test reports, conduct investigations, and ensure adherence to regulatory standards while collaborating with business units.

The Senior Manager of Corporate & International Tax oversees tax compliance, planning, and reporting, while mentoring a tax team and collaborating across departments to enhance tax strategies and ensure adherence to regulations. They drive initiatives for process improvements and provide tax guidance for business expansions.

The Fund Controller manages fund accounting accuracy and consistency, collaborates with teams, and oversees compliance and audit partnerships.

The Director of Compliance & Control advises on compliance regulations, updates policies, engages with regulators, and fosters organizational relationships to ensure adherence to financial regulations.

As a Compliance Associate, you will conduct compliance testing, maintain databases, assist with regulatory filings, manage documents, and support operational tasks.

The Audit Manager II oversees audits focusing on compliance with regulations, leads audit engagements, and supports risk management strategies.

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

The Director leads the Internal Control system, audits, ethics, and compliance for LVMH Beauty, ensuring operational integrity and compliance with internal standards, while collaborating with legal and providing recommendations for improvement.

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

The Financial Compliance Senior Associate will lead the SOX cycle, ensure compliance, assess risks, evaluate controls, and collaborate for improvements.

The Compliance Auditor will conduct compliance audits, prepare summaries, and provide recommendations for audit reports.

Manage day-to-day AML and OFAC operations across time zones: oversee case workload, performance metrics, policy maintenance, monitoring rule tuning, reporting, and process improvements to strengthen compliance program and scale operations.

The Head of North American Compliance oversees KBRA's regulatory compliance, manages a compliance team, and enhances internal controls and processes. Responsibilities include regulatory reporting, managing inquiries, and collaborating with stakeholders to improve compliance programs.

The Tax Assistant Vice President will oversee domestic and international tax compliance for BXMA funds, coordinate with accountants, review tax returns, and assist in audits and new product development.

The Senior Compliance Manager will oversee compliance programs, manage risk assessments, ensure regulatory adherence, and lead compliance initiatives across multiple business lines.

The Staff Accountant will assist in quarterly and annual financial reporting, perform monthly closing tasks, and support audits and investor communication.

Support Research Compliance by overseeing consultant interactions and custom projects, chaperoning and documenting consultant calls, maintaining compliance policies and systems, recommending policy improvements, and partnering with investment professionals and compliance team members.

The Director will provide compliance advisory for equities, advise on regulatory requirements, and enhance the compliance program while managing multiple projects and interactions with regulators.