313 Regulatory Compliance Jobs in New York City, NY, United States

Role highlights

• Build and maintain effective working relationships, including with Legal, Internal Audit, business CCOs, and other compliance functions to…
• The AML Compliance Officer will serve as a key member of the AML leadership team — supporting the Enterprise AML…

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• Experience in research administration, compliance, higher education administration, regulatory affairs, or related fields preferred.
• Assist with preparation of export classifications, technology control plans, license applications, and related compliance documentation.

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• Provide senior compliance guidance on new product introductions, distribution platform changes, field technology modernization, AI governan…
• Sponsor and coordinate a portfolio of compliance modernization initiatives—covering surveillance technology, AI-enabled monitoring, e-commu…

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• You navigate complex regulatory requirements, bridge business goals with compliance obligations, and build scalable frameworks for ambiguou…
• In this role, you will translate complex legal, regulatory, and self-regulatory obligations into operational frameworks, proactively identi…

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• What you’ll be responsible for: Circle is looking for a Senior Manager to join the Regulatory Assurance team who will…
• You will coordinate and oversee all regulatory changes, including the identification, assessment, and partnership with cross-functional tea…

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• Partner with Futures Operations, Risk, Finance, and Technology to identify regulatory and operational risks and enhance related controls.
• Experience working in complex, highly regulated financial services environments and coordinating regulatory matters across multiple busines…

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• What You'll Do Build and own the FCM compliance program, including all written supervisory procedures across trading and operations, and…
• Support the CCO on exam preparation, internal reporting, and any regulatory filings tied to FCM operations.

Role highlights

• This role is a senior position within the ISS Compliance function, with a primary focus on the management of conflicts…
• The CO will be reporting to the Chief Compliance Officer (CCO) of ISS and working closely with other teams within…

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• The Compliance Officer is responsible for monitoring regulatory developments impacting the trust companies, providing day-to-day compliance…
• Prepare and distribute regular written compliance reports for the Boards of Directors, management committees, Trust Company Operations, and…

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• Key Responsibilities: Regulatory Compliance : Ensure compliance with relevant regulations such as the Dodd-Frank Act, Commodity Futures Tra…
• This role involves developing and implementing compliance strategies, conducting risk assessments, and fostering a culture of integrity and…

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• Highly organized and capable of dealing with multiple, complex projects simultaneously Responsibilities: Advise and implement enhancements…
• Escalate reporting when relevant Developing and conducting periodic testing to monitor whether internal controls are operating effectively…

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• Monitor, analyze, and escalate compliance risks and issues, including client activity and regulatory exposure Partner with Compliance Offic…
• The Lead Bank Fiduciary Compliance Specialist supports the execution, oversight, and continuous improvement of compliance programs within W…

Role highlights

• This Compliance Officer will play a central role in the Know Your Customer (“KYC”) / Anti-Money Laundering (“AML”) program as…
• This position offers broad exposure across the compliance function, close collaboration with the Chief Compliance Officer (“CCO”), and the…

Role highlights

• Meet the Team The Compliance Department at Millennium is responsible for adopting, implementing and enforcing the Firm’s compliance program…
• The team works closely with stakeholders across the business to help prevent and detect violations of applicable laws, rules, regulatory…

Role highlights

• Assist with leading fund-level compliance responsibilities, including counterparty reviews, trade error documentation, proxy voting oversig…
• Qualifications & Desired Skills A minimum of 10 years of work experience in a compliance function within an SEC- or…

Role highlights

• 4+ years of experience as a Compliance Officer, Legal Associate, Risk Analyst, Auditor, or Policy Advisor, preferably in a government…
• Role overview: In this role, you will contribute to projects that help evaluate and enhance AI systems using your expertise…

Role highlights

• This includes: obtaining and verifying client KYC documentation to ensure adherence to all Compliance policies, procedures and regulatory/A…
• AML Compliance Officer Experience: 5+ Years Location: New York, NY (Hybrid) Reporting To: Chief Compliance Officer Company Overview: RQD* i…

Role highlights

• This person will report into the Chief Compliance Officer – Central Compliance.
• In this role, the primary focus is surveillance and monitoring, with opportunities to contribute to collaborative projects across the firm’…

Role highlights

• Financial Services, Legal and Regulatory, Audit or Compliance background and/or experience with financial services compliance and/or experi…
• In this role, you’ll make an impact in the following ways: Lead implementation and recommend enhancements to BNY’s Compliance frameworks,…

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• This role sits at the intersection of compliance and operations.
• About the Role We are looking for a hands-on Compliance Analyst to join our Compliance team with a primary focus…

Role highlights

• Proven ability to assess and manage compliance risks for novel or undefined financial features, translating evolving regulatory guidance in…
• Experience reviewing marketing materials, customer communications, and product launches from a regulatory compliance perspective.

Role highlights

• The successful candidate will help advance the firm’s compliance framework by: (1) Providing thoughtful, practical guidance on the applicat…
• Responsibilities Assist in the oversight of the firm’s compliance program through development and enhancement of the processes and procedur…

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• The Chief Compliance Officer Governance Area oversees compliance with the regulatory framework and with principles of fairness and integrit…
• What you'll be doing Key responsibilities include: Manage WRL processes, including deal/transaction and staff registration in the WRL platf…

Role highlights

• Providing compliance advice and training to investment personnel on their activities; including managing the flow of live trading queries a…
• Act as compliance SME as needed for relevant business change initiatives including the acquisition of new teams.

Role highlights

• This position, reporting to the Head of Regulatory Compliance Banking, Products, US, plays a key role in ensuring that US…
• This role requires strong partnership with the GPS business to drive and accelerate the execution of Regulatory Compliance programs that…