Top Compliance Jobs in NYC, NY

Advise alternative-asset clients on U.S. securities laws, support regulatory exams, review marketing materials, prepare filings, design compliance/testing programs, draft policies, mentor junior staff, and manage client-driven compliance projects.

Lead AML/CTF program for a CFTC-registered prediction market: develop policies, conduct risk assessments, oversee transaction monitoring and KYC/CDD, manage SARs and regulator interactions, deliver training, and update procedures for regulatory changes.

Execute end-to-end onboarding for complex institutional, corporate, and HNWI clients. Perform KYB/KYC, Enhanced Due Diligence, PEP and sanctions screening, escalate risks, support audits, optimize onboarding workflows, and partner with Sales and Risk to maintain compliance with AML/CFT and privacy regulations.

As a Compliance Associate, you will oversee compliance in Wealth Management, advise on product management, prepare regulatory filings, and ensure adherence to legal requirements.

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

Lead end-to-end SOX and ICFR workstreams including risk assessments, walkthroughs, testing, documentation, issue remediation, and auditor liaison. Coordinate with control owners, coach junior staff, maintain audit-ready control documentation, and report progress and risks to leadership while driving continuous improvement and automation opportunities.

Lead second-line compliance and operational risk coverage for US GCIB, manage a team, assess risks and controls, escalate and remediate issues, monitor regulatory changes, produce independent risk reporting, and execute coverage plans while engaging senior leadership and US regulators.

Lead a Consumer compliance advisory function, providing regulatory subject-matter expertise (TILA, RESPA, FCRA, FDCPA, etc.), managing advisors and the Privacy Office, partnering with business leadership to identify, prioritize, and mitigate compliance risks, and advising on new products and regulatory developments.

Lead the US Sanctions Compliance program as a subject-matter expert on OFAC and multijurisdictional sanctions. Oversee sanctions screening operations, policy development, regulatory examinations, and OFAC engagement. Partner with Technology, Data, and risk teams to tune screening systems, improve metrics and reporting, and deliver targeted training to strengthen sanctions risk awareness across the institution.

Lead enterprise-wide compliance and BSA/AML program for a fintech-focused cannabis B2B platform. Design, implement, and monitor risk controls, onboarding, transaction monitoring, and bank-partner due diligence. Build and scale a compliance team, deliver training, manage audits and third-party assessments, and advise stakeholders on regulatory changes.

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

Perform enhanced due diligence on high-risk customers and transactions; review screening alerts (WorldCheck, Clear, LexisNexis); prepare SARs and FinCEN 314a searches; maintain client KYC/risk profiles; manage sanctions/OFAC reporting; conduct adverse media and employee screening; optimize screening system configurations; draft AML procedures; support audits, training, and cross-functional AML inquiries and escalations.

Support compliance governance and monitoring: administer controls certification, issues and remediation tracking, regulatory inventory and policy reviews, prepare periodic reporting, manage contract compliance monitoring, and coordinate with stakeholders to close actions.

The Director of Regulatory & Compliance will lead the Governance, Risk, and Compliance strategy, manage regulatory obligations, and support product compliance in a remote setting.

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

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.

Lead and run the Compliance Monitoring & Assurance function globally: design and execute annual monitoring plans, perform independent testing across front-office and corporate functions, identify control gaps, drive remediation, update policies, prepare for regulatory exams, and present results to senior governance.

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.

Assist in global tax compliance for private equity investments, ensuring regulatory and reporting requirements are met. Support tax-related reviews, coordinate with stakeholders, and obtain required securities licenses if client-facing. Duties may expand as needed within Blackstone's private equity tax function.

Lead and manage multi-state money transmitter licensing, regulatory reporting, and examination support across the U.S.; coordinate regulator communications, filing calendars, and licensing strategy; support product and geographic expansion; oversee remediation, external counsel, and mentor licensing staff.

Lead and manage multi-state money transmitter licensing, regulatory reporting, and exam coordination. Own filings, regulator communications, licensing inventories, change-of-control matters, and licensing support for product and geographic expansion. Monitor regulatory developments, coordinate external counsel, and manage/mentor licensing personnel.

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.

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.

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.

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.