Top Compliance Jobs in NYC, NY

The Compliance Programs and Standards role involves overseeing compliance risk management, managing regulatory changes, leading teams, and developing compliance strategies in a financial institution.

Responsible for administering portfolio compliance programs, implementing controls, managing rule creation, supporting fund reporting, and overseeing compliance functions.

The Audit Manager I will lead audit engagements, oversee audit processes, mentor staff auditors, and enhance risk management. They ensure audits align with regulatory guidelines and maintain communication with management regarding audit status and findings.

Lead government accounting operations, ensuring compliance with regulations, managing a remote team of accountants, and optimizing processes for operational efficiency.

The Senior Associate Compliance role manages compliance oversight for trading activities, ensuring adherence to regulations, identifying risks, and collaborating across teams. Responsibilities include trade surveillance, risk assessments, and compliance documentation.

Oversee the compliance program for Robinhood's Bitstamp BVI entity, collaborating with various teams to ensure effective compliance processes.

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

Review marketing materials for compliance with FINRA and SEC rules, draft disclosures, submit materials to FINRA, and advise advisers on marketing issues.

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 PIMCO's global compliance program, ensuring governance, regulatory alignment, and effective risk management while mentoring a high-performing team and enhancing operational resilience.

As the Compliance Officer, you will develop compliance frameworks, manage risk controls, advise on compliance risks, and ensure adherence to regulatory requirements.

The IT Financial Compliance Manager ensures compliance with financial regulations like SOX by evaluating systems, designing controls, and collaborating with teams to implement effective solutions.

The Senior Compliance Officer will manage trade surveillance data quality, ensuring compliance with regulatory requirements, collaborating with technology teams, and resolving data-related issues.

The Senior Business SOX Compliance Manager leads the ICFR program, shapes control strategies, partners with stakeholders, and develops the compliance team at Zillow.

The Manager, Compliance will oversee compliance frameworks, manage documentation, ensure audit readiness, and improve operational processes across North American trading activities.

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

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

The VP, Compliance oversees compliance programs, ensuring processes meet regulatory standards. Responsibilities include managing audits, preparing executive reports, and leading compliance staff.

The role involves providing compliance support for AML and Sanctions in the Securities business, analyzing risks, advising on policies, and enhancing training for staff.

Lead global non-U.S. tax compliance including VAT and corporate income tax, manage records and teams, and ensure compliance with tax legislation.

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 Sr. Manager will oversee international tax compliance, manage a team, and enhance international tax processes, focusing on US federal income tax.

The VP oversees financial reporting and regulatory compliance, manages reporting processes, leads a team, and ensures accurate regulatory filings and governance protocols are met.

The Tax Compliance Manager will oversee tax compliance, reporting, and planning, manage filings, coordinate with auditors, and maintain tax processes.

The Associate Director will oversee Futures Trading, manage client inquiries, monitor trading flows, and resolve operational issues while supporting the growth of Webull’s futures business.