Top Compliance Jobs in NYC, NY

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.

Lead design and daily operation of the Capital Partners compliance program, ensuring regulatory filings and controls for exempt reporting advisers and Bermuda investment entities. Monitor legal/regulatory developments, design risk-based testing, respond to regulators, support investor due diligence, provide training, and collaborate with global legal, risk, finance, and business teams.

Lead and run Octaura's U.S. broker-dealer compliance program, advise executives on regulatory risk, own AML and surveillance, manage registrations and regulatory filings, embed compliance into product and commercial decisions, select compliance technology, and build data and AI governance while supporting growth and regulatory responses.

Lead development and operationalization of compliance framework for a new investment advisory offering. Own testing, surveillance, audits, risk assessments, regulatory responses, and policy implementation. Partner cross-functionally to build workflows, books-and-records controls, information barriers, and conflict-of-interest safeguards while promoting a fiduciary, client-first compliance culture pre-launch and post-launch.

Support and enhance the firm's compliance program for a multi-manager hedge fund platform. Perform trade, e-communications, and personal account surveillance; assist with regulatory filings (Form ADV, PF, D, 13F, etc.); support Regulation M and deal-related compliance; conduct pre/post-trade checks and manager due diligence; maintain policies, training, incident investigations, and internal controls.

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.

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.

Provide senior compliance advisory for equities sales and trading, focusing on cash/high-touch and electronic trading. Strengthen equities compliance program, advise on regulatory requirements, implement supervisory controls, conduct testing and risk assessments, lead investigations and regulatory responses, deliver training, and report to senior management while interacting with regulators and global teams.

Serve as the Line of Business Compliance Officer for U.S. Corporate Card Programs, providing independent, second-line oversight. Assess compliance risk for products, features, marketing, disclosures, and digital journeys; support CRA, RCIM, KRIs, and RBST; identify and drive remediation of compliance issues; collaborate with Legal, Audit, Financial Crimes, Privacy and other stakeholders; assist with regulatory examinations and inquiries.

Lead and maintain the FCM and Introducing Brokers compliance program, ensure CFTC/CME rule adherence, manage regulatory exams and reporting, enhance surveillance and control frameworks, perform risk-based testing, advise business and tech teams, and deliver targeted compliance training.

Support Investment Compliance change initiatives by analyzing data and processes, documenting requirements, assisting testing (UAT), producing insights and reports (Excel/SQL/Power BI), and coordinating stakeholders to improve controls, workflows, and automation across global teams.

Support public sector finance and compliance engagements by collecting and reviewing financial documentation, performing basic compliance testing, preparing workpapers, assisting with financial modeling and analyses, and contributing to AML system data workstreams. Collaborate with teams, attend client meetings, and help with engagement execution under senior guidance while developing accounting and regulatory knowledge.

Serve as a PWM Compliance VP advising business leaders on regulatory, supervisory and business-driven projects. Support regulatory change management, governance, marketing review, risk assessments, training, examinations, policy development, and cross-functional initiatives while acting as key compliance contact for working groups and business lines.

Provide independent second-line compliance oversight for U.S. Corporate Office programs. Support design, implementation, assessment, and monitoring of regulatory compliance management activities; advise stakeholders, manage regulatory reviews and escalations, prepare reporting and audit responses, and drive remediation. Partner with Legal, Risk, Finance, Audit, Technology and business units to identify and mitigate compliance risk across jurisdictions.

The Senior Vice President of Compliance & Control will develop investment adviser compliance programs, ensuring adherence to regulations, managing risk assessments, and supporting regulatory inquiries.

Lead Compliance Monitoring & Testing for TD Securities US: design and execute annual testing plans, determine scopes and methodologies, prepare workpapers and reports, manage remediation, develop metrics and rules inventory, support Core Compliance projects, and build relationships with stakeholders and regulators while overseeing a team of specialists.

The Portfolio Oversight Analyst will manage trading controls, code client investment guidelines, handle regulatory compliance, and support trading desks. Responsibilities include preparing regulatory reports, assisting in client due diligence, and participating in overnight calls for trading issues resolution.

Lead consumer banking and BaaS compliance efforts: assess regulatory actions, advise business teams on payments and consumer regulations, review new products, develop monitoring and reporting, remediate control gaps, and interface with regulators and executives. Drive compliance programs, risk-based client reviews, and documentation updates to align products and controls with regulatory and internal risk tolerance.

Lead Cartier North America's compliance roadmap, oversee internal controls and fraud prevention, drive compliance transformation projects, embed analytics and automation, manage ICS and policy governance, deliver training, and provide financial and analytical support for sustainability (CO2 measurement and reporting). Act as executive-facing business partner escalating risks and progress to leadership.

Design, implement, and optimize AI-powered solutions to support financial compliance and controls. Monitor GAAP/IFRS adherence, automate controls and reporting, support internal/external audits, and manage complex accounting areas like revenue recognition and lease accounting while collaborating with finance, audit, and technology teams.

As a Crypto Compliance AML Analyst, you will monitor and investigate AML and fraud across crypto transactions, ensuring regulatory compliance while improving systems and processes.

Owner of fraud, collections, and back-office compliance for Mission Lane's credit card business. Serve as embedded compliance authority, manage escalations, run testing and monitoring of controls, identify gaps, provide regulatory guidance, partner with business and Legal, and support program strategy and exam readiness.

Lead Rayda’s compliance and risk framework across internal operations and third-party vendors. Responsibilities include vendor due diligence, KYB, risk and compliance registers, control monitoring, remediation, information security and privacy compliance, customer audits, security questionnaires, cross-functional control implementation, executive reporting, and process automation.

Coordinate royalty and compliance processes: collect and review licensee revenue reports, calculate royalties per contract terms, track compliance, escalate discrepancies, support audits, maintain databases, and improve workflows while collaborating with Legal, Finance, and Brand teams.