Top Compliance Jobs in NYC, NY

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

The Fintech Compliance Lead will enhance the compliance program, lead fintech partnerships, evaluate risks, advise stakeholders, and support audits and training.

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.

As a Crypto Compliance Lead, you will guide product teams on regulatory requirements and support compliance reviews for crypto products. Responsibilities include advising during the product lifecycle, reviewing features and communications, and conducting regulatory examinations.

Lead and develop a team responsible for pre- and post-trade portfolio compliance monitoring, interpreting investment guidelines, managing breaches, and supporting board reporting and regulatory exams. Advise on product launches and onboarding, enhance compliance systems and data quality, drive process improvements, and train investment teams and trading desks.

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

Lead and oversee independent, risk‑based compliance testing and validations for wealth-related regulatory requirements. Manage teams, design and execute testing engagements, report findings, validate remediation, and advise stakeholders on compliance controls, regulatory interpretation, and risk mitigation to ensure program effectiveness and regulatory adherence.

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

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

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.

Support and administer Swap Dealer and Security-Based Swap Dealer compliance program: perform risk assessments, monitoring, testing and surveillance; advise business on regulatory developments and new products; identify and remediate compliance gaps; maintain compliance reporting and data analysis; interact with auditors/regulators and provide guidance to first line of defense.

Own and run the firm's market surveillance program: monitor trading for fraud and manipulation, investigate alerts, develop prevention strategies, liaise with vendors and engineering, enforce compliance policies across regulated entities, ensure adherence to SEC/FINRA/CFTC/FCA rules, and apply AI tools to improve detection and workflow.

The Senior Manager oversees global tax planning, guides team members, leads audits, communicates with business partners, and maintains tax law knowledge.

The Financial Operations Associate manages investment product operations, ensuring accuracy in cash and security transfers while maintaining compliance and documentation.

Monitor real-time and historical derivatives trading to detect market abuse, investigate flagged transactions, prepare investigative reports, ensure regulatory compliance, support KYC/AML enforcement, and collaborate with Legal, Risk, and Technology to improve surveillance protocols.

The Compliance Manager will operationalize Aspen's RIA compliance standards into scalable workflows and systems while supporting regulatory requirements and enhancing compliance technology usage.

The Compliance Manager will advise on compliance risks, conduct assessments, monitor activities, and address regulatory obligations related to fraud and internal conduct.

The Director oversees the Customer Risk Rating program, enhancing risk assessments, managing stakeholder engagement, and leading a team to ensure compliance with financial crimes regulations.

Support compliance monitoring, testing, and branch audits for acquired firms during integration. Conduct risk assessments, audits, and branch exams; identify trends, document workpapers, track remediation action plans, assist policy development, and report to Compliance leadership while staying current on regulatory developments.

Design, implement, and administer the firm's enhanced-risk monitoring and supervision framework for clients, employees, advisors, and business practices. Develop risk-scoring and high-risk criteria, oversee enhanced due diligence, manage heightened supervision plans, perform risk assessments, produce dashboards and reports, and support regulatory readiness and audit documentation.

Lead and scale compliance for an RIA and Broker-Dealer: own policies, surveillance, product reviews, regulatory exams (SEC/FINRA), compliance training, and embed compliance into product and engineering to enable fast, safe growth.

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

Lead design and implementation of a financial compliance program (COSO/AICPA), perform risk assessments, document processes and controls, execute periodic testing and remediation, manage deficiency tracking, coordinate with external auditors, and report control status to the CFO and executive leadership.

Lead governance and risk-control initiatives for algorithmic and electronic trading across asset classes. Perform risk-based assessments of market access and algorithmic logic, advise business on regulatory requirements, implement controls, track review pipelines, monitor regulatory developments, coordinate regulatory responses, and deliver compliance training.