Top Compliance Jobs in NYC, NY

Lead compliance support for crypto product development and launches, advising Product, Legal, Risk, Marketing, and Operations teams. Review product designs, customer communications, marketing materials, and operational processes for regulatory compliance. Develop compliance frameworks, advise on AML, sanctions, consumer protection, and financial crimes requirements, and support regulatory examinations, filings, testing, monitoring, and internal reviews.

Reviews marketing and customer-facing materials for regulatory compliance, performs monitoring and control testing, handles KYB/KYC and transaction-monitoring escalations, supports enhanced due diligence, maintains compliance records, assists with audits and examinations, partners with internal teams, and tracks employee compliance training.

Provides strategic oversight of mortgage post-closing suspense and compliance issue management. Leads risk-based issue identification, escalation, remediation, root-cause analysis, corrective action validation, regulatory examination support, reporting, and continuous process improvement. Partners across compliance, regulatory change management, quality control, internal audit, and operations to strengthen the Compliance Management System and prevent recurring deficiencies.

Serves as the subject matter expert for individual disability insurance product compliance and supports supplemental health products. Monitors and interprets federal and state regulations, assesses risks, performs compliance testing, develops policies and guidance, supports product filings, and advises cross-functional teams. The role also assists with audits and regulatory examinations, develops training materials, reviews customer-facing materials, and participates in industry activities.

Review and approve high-volume marketing and investor-facing content for SEC Marketing Rule compliance; conduct vendor due diligence and AI governance oversight; support books-and-records, testing, monitoring, and compliance program documentation; partner with stakeholders on training, disclosures, and remediation; manage compliance-related vendor relationships and projects.

Executes high-volume KYC and third-party diligence operations for LNG and LPG counterparties. Responsibilities include tracking documentation, sanctions screening, CDD and EDD support, rescreening, case intake, reporting, Salesforce data maintenance, and escalation of elevated-risk findings. The role will also expand into compliance control testing, remediation tracking, and coordination with independent testers. Success requires strong organization, attention to detail, communication, and the ability to manage recurring compliance processes.

Leads U.S. and Canadian payroll tax compliance, filings, payments, audits, reconciliations, year-end reporting, controls, and regulatory monitoring. Manages a team of six payroll tax professionals while partnering with Payroll Operations, Technology, Product Management, HR, Accounting, vendors, auditors, and government agencies. Drives process improvements, system enhancements, testing, strategic initiatives, and organizational change across complex, multi-jurisdiction payroll operations.

Leads U.S. and Canadian payroll tax compliance, including filings, payments, audits, reconciliations, year-end reporting, regulatory monitoring, and agency relations. Manages and develops a team of six payroll tax professionals, establishes internal controls, drives process improvements, and partners with Payroll Operations, Technology, Product Management, HR, Finance, vendors, auditors, and government agencies on system enhancements and strategic initiatives.

Manages regulatory compliance monitoring and testing for a fintech financial services platform. Designs testing protocols, audits lending disclosures and credit notices, reviews marketing and complaint trends, monitors regulatory changes, conducts compliance audits, and recommends remediation. Partners with legal, compliance, business, and operational teams to identify risks and implement practical controls across U.S. lending products.

Leads Mastercard’s global international tax strategy, U.S. international tax compliance, tax risk management, controversy support, M&A structuring, and digital asset taxation. Advises executive leadership and cross-functional teams on OECD Pillar Two, transfer pricing, emerging payment technologies, and multinational tax regulations. Oversees compliance governance, external advisors, tax technology optimization, and a high-performing international tax team.

Manage regulatory licensing, reporting, examination readiness, obligation inventories, control assessments, remediation tracking, and regulatory submissions for Mastercard’s payments and digital assets business. Coordinate with Legal, Compliance, Risk, Operations, Product, Finance, and business teams across U.S. and international jurisdictions. Prepare regulator communications, board and management reporting, compliance metrics, risk assessments, and evidence supporting examinations and licensing obligations.

Monitors U.S. and Canadian payroll compliance, regulations, tax filings, audits, controls, and employee pay accuracy. Investigates exceptions, manages corrective actions, supports SOX and regulatory audits, and coordinates payroll compliance for acquisitions and new entities. Maintains procedures, governance documentation, dashboards, and reporting while partnering with Legal, Finance, HR, vendors, and leadership to improve controls, reduce risk, and support payroll technology and transformation initiatives.

Supports compliance programs for investment advisers and broker-dealers by managing registrations, compliance reviews, testing, monitoring, regulatory filings, audits, policies, training, and marketing-material reviews. The role monitors investment and sales activities, interprets securities regulations, provides business guidance, escalates issues, and supports responses to regulators, boards, and supervisory entities.

Lead compliance advisory and regulatory change management for financial products and services. Partner with Product, Engineering, Marketing, Credit, and other teams on product launches, disclosures, customer journeys, controls, and regulatory requirements. Own marketing materials review, bank partner approval submissions, third-party risk oversight, complaint management, policy governance, and regulatory change implementation. Translate complex regulations into actionable product guardrails, policies, procedures, and controls while supporting the broader compliance management system.

Performs fraud detection, AML monitoring, alert investigation, suspicious activity escalation, regulatory interpretation, and financial crime risk mitigation. Develops fraud typologies, prepares investigation and management reports, maintains case records, collaborates with operational teams, and supports compliance process improvements. The role requires independent judgment, strong analytical skills, regulatory knowledge, and accurate documentation in a fast-paced fintech environment.

Direct fiscal compliance and audit operations for NYC Aging. Responsibilities include planning fiscal and programmatic audits, monitoring subcontractor financial controls, reviewing audit findings, overseeing contract closeout teams, strengthening internal controls and risk management, preparing reports, developing policies, coordinating compliance training, evaluating compliance software, and advising leadership on regulatory adherence and operational improvements.

Manage employee personal securities account onboarding, offboarding, data-feed connections, account statement collection, and compliance records. Communicate trading disclosure obligations, produce management reports, maintain operating procedures, and respond to regulatory, audit, and testing requests. The role requires strong organization, attention to detail, risk awareness, communication, and proficiency with Microsoft Office.

Oversee multi-state and local tax compliance across multiple entities and jurisdictions, including sales and use tax filings, registrations, audits, notices, tax accruals, and risk mitigation. Manage and mentor a Sales Tax Specialist, coordinate income and franchise tax matters with external firms, maintain Avalara and NetSuite integrations, support tax configuration, and improve compliance processes and reporting.

Advise Experian’s Financial Services and Data division on regulatory compliance risks related to consumer credit services. Conduct policy gap assessments, develop remediation plans, support regulatory examinations, analyze requested documentation, and coordinate with Legal, Information Security, Governmental Affairs, and business teams. Help improve control effectiveness, resolve compliance issues, and prepare materials for regulatory meetings.

Advise business teams on consumer credit regulatory compliance, perform policy and procedure gap assessments, track remediation, support regulatory examinations, analyze requested documentation, and help prepare regulatory meeting materials. The role collaborates with Legal, Information Security, Governmental Affairs, and business units to address compliance risks, improve controls, and resolve complex issues involving privacy and consumer protection laws.

The job description provides limited responsibility details for a Compliance Program Analyst role. The position requires U.S. citizenship or naturalized citizenship, and all work must be performed within the continental United States, Alaska, or Hawaii. The listed annual compensation range is $90,000 to $110,000.

Leads financial crime compliance coverage for digital assets, assessing AML, sanctions, fraud, and terrorist-financing risks across blockchain-based products and services. Advises on product approvals, client onboarding, controls, regulatory changes, vendor integration, transaction monitoring, investigations, and remediation. Partners with business, technology, legal, audit, and risk teams to develop policies, governance materials, training, metrics, and scalable controls while supporting regulatory examinations and senior stakeholder decision-making.

Supports the investment advisory firm's compliance program through regulatory monitoring, code of ethics oversight, filings, policy administration, risk assessments, forensic testing, due diligence, communications review, and examination readiness. The role evaluates compliance risks across products, marketing materials, transactions, and business initiatives; collaborates with legal, finance, operations, technology, and investment teams; and helps improve automated monitoring and reporting workflows.

Supports compliance operations for Robinhood Asset Management’s investment advisory business. Responsibilities include implementing regulatory policies, validating supervision and controls, resolving complaints and client inquiries, identifying risks, building compliance workflows, testing books and records, establishing information barriers, and addressing conflicts of interest. The role collaborates across teams to support compliant product launches and improve customer-facing advisory services.

Leads domestic and international royalty, licensing, participation, and contract compliance audits from planning through settlement. Responsibilities include risk assessment, contract interpretation, financial and operational testing, data analysis, client reporting, recovery quantification, negotiations, quality assurance, and staff supervision. The role manages multiple engagements, collaborates with legal, finance, licensing, and client teams, and uses analytics and visualization tools to identify anomalies and improve compliance programs.