172 Regulatory Compliance jobs in New York City.

Princeton

• Skills: Market Access, Legal Support, Regulatory Compliance, Contract Drafting, Pricing Strategies, Fraud and Abuse, Healthcare Laws, Risk Mitigation, Client Counseling, Negotiation Skills
• Experience: A minimum of 10 years of relevant experience, preferably in an in-house legal department at a biotechnology or pharmaceuticals company.
• Type: Full-time

New York City

• Skills: General Counsel, Regulatory Compliance, Corporate Governance, Risk Management, Legal Strategy, Mergers & Acquisitions, Digital Assets, Institutional Trading, Legal Advice, Team Leadership
• Experience: Minimum of 12 years of legal experience in the financial services industry.
• Type: Full-time
• Salary: $375,000 - $470,000 USD

New York City

• Skills: De-Fi, OnChain, legal counsel, compliance, staging, tokenization, agreements, digital assets, regulatory landscapes, intellectual property
• Experience: 3-5 years of transactional experience in top-tier law firms or crypto-focused companies.
• Type: Full-time
• Salary: $220,000 — $250,000 USD

New York City

• Skills: Regulatory compliance, Investment Company Act of 1940, Alternative investments, RIA, FINRA rules, Compliance testing, Investment management, Wealth management, Policies and procedures, Training and monitoring
• Experience: 3-5 years of compliance program oversight in the RIA and Investment Company Act of 1940 registered products space
• Type: Full-time
• Salary: $90,000 to $115,000

New York City

• Skills: compliance, financial regulations, risk management, regulatory frameworks, monitoring activities, problem-solving, communications skills, project management, analytical skills, Microsoft Office
• Experience: 2-4 years of relevant work experience in compliance, financial services, or a regulatory environment (internship experience may be considered).
• Type: Full-time
• Salary: $100,000 to $120,000

New York City

• Skills: Risk Operations, Fraud, Dispute Operations, Chargeback, Operational Efficiency, Compliance, Standard Operating Procedures, Key Performance Indicators, Project Management, Federal Regulations
• Experience: 5+ years of financial services operations experience, preferably in issuer risk, fraud, and dispute operations management; 2+ years in a management role.
• Salary: $110,000 - $150,000

New York City

• Skills: risk engineering, fraud detection, regulatory compliance, strategic vision, risk infrastructure, data-driven, cross-functional collaboration, customer-centric, compliance standards, fintech
• Experience: 10+ years of engineering experience with at least 2 years in a senior leadership role, ideally within fintech or regulated technology environments.
• Type: Full-time
• Salary: $278,000 - 327,000 USD

New York City

• Skills: Global Markets Compliance, Control Room, capital markets, trading policy, MNPI, IPO, equity, debt offerings, mergers and acquisitions, regulatory change
• Experience: 5-7 years’ experience preferably in a multi-manager firm in a similar role
• Type: Full-time
• Salary: $200,000.00 - $230,000.00

New York City

• Skills: regulatory compliance, regulatory counsel, FDA and USDA regulations, food safety, product claims, marketing campaigns, legal strategies, compliance, risk mitigation, cross-functional collaboration
• Experience: 8+ years of relevant legal regulatory experience, five of which involving food law
• Type: Full-time
• Salary: $175,000 - $205,000 USD Annual

New York City

• Skills: regulatory function, financial services, technology regulatory, decentralized finance, blockchain technology, international growth strategy, legal advocacy, strong point of view, human resources, organizational skills
• Experience: 8+ years of deep financial services and technology regulatory legal experience
• Type: Full-time
• Salary: $270,000 - $300,000

New York City

• Skills: regulatory guidance, incident reporting, compliance, agency operations, legal memoranda, Organizational Corrective Action Plans, enforcement conferences, non-compliant providers, contractual obligations, DHS compliance initiatives

New York City

• Skills: risk management, compliance, policy analyst, financial risks, operational risks, improvement strategies, agency management, confidential documents, stakeholder meetings, quantitative assessment
• Type: Full-time

New York City

• Skills: Compliance, AML, Licensing requirements, Fintech, Startups, Policy development, Risk monitoring, Regulatory compliance, US Money Transmitter License, Cross-functional collaboration
• Experience: Experience in fintech compliance, particularly in startups or fast-scaling environments.
• Type: Full-time

New York City

• Skills: Product Counsel, Commercial Counsel, Legal Team, Banking, Digital Experience, Process Improvement, Policies, Product Initiatives, Growth Opportunities, Customer Engagement

New York City

• Skills: compliance, regulatory, financial technology, product development, consumer compliance, risk management, Regulation E, Regulation Z, financial crimes, regulatory reporting
• Experience: 5-7 years in compliance advisory role, ideally in fintech
• Type: Full-time
• Salary: $178,200 - $209,700 (NYC, LA, Seattle, SF Bay Area); $160,400 - $188,700 (other US locations); CAD $162,200 - $190,800 (Canada)

New York City

• Skills: Tax Compliance, Tax Reporting, Partnership Taxation, FATCA, K-1s, Tax Filings, Transfer Pricing, Regulatory Compliance, Research, Coordination
• Experience: 5+ years of experience in taxation, with a focus on partnership taxation
• Salary: $125,000 to $150,000

New York City

• Skills: OFAC regulations, US sanctions, compliance, advisory, due diligence, risk assessment, policies, training, reporting, analysis
• Experience: 5+ years of relevant experience, preferably within a global financial institution, and/or within the payments industry, and/or within the credit card industry, and/or at a regulatory agency.
• Type: Full-time
• Salary: $120,000 - $155,000

New York City

• Skills: digital assets, policy, policymaking, legislation, regulatory, government policy, research, analysis, financial services, communication
• Experience: 3+ years of professional experience working in financial services policy
• Salary: $150,000 - $200,000 USD

New York City

• Skills: Compliance, Risk Assessment, Artificial Intelligence, Regulatory Engagement, Policies and Procedures, Stakeholders, Leadership, Communication Skills, Decision Making, Problem Solving
• Experience: 10-15+ years of experience as a Compliance professional
• Type: Full-time
• Salary: $231,400.00 - $335,500.00

New York City

• Skills: Credit Risk, Audit, Financial Services, Lending Practices, Market Risk, OTC Derivatives, Regulatory Guidelines, CCAR, Risk Management, Commercial Real Estate
• Experience: Extensive experience in auditing within the financial services industry, particularly in credit risk management.
• Type: Full-time
• Salary: $65-85 DOE

New York City

• Skills: Compliance, Regulatory obligations, Financial services, Risk management, AML/CFT, Crypto economy, Licenses maintenance, Customer lifecycle, Monitoring and reporting, Regulatory mapping
• Experience: 4+ years of experience in related compliance/risk function within financial services, FinTech or cryptocurrency industries.

New York City

• Skills: regulatory compliance, enforcement, violations, data analysis, reporting, stakeholder engagement, operational compliance, field inspections, commercial waste, contract management

New York City

• Skills: contract negotiation, regulatory compliance, commercial outcomes, legal risk assessment, mutual funds, alternatives products, change management, contract lifecycle, collaborative work, legal contracts
• Experience: 10+ years in legal contract negotiation in the financial services industry
• Type: Full-time
• Salary: USD$194,000.00 - USD$270,000.00 (New York), USD$184,000.00 - USD$250,000.00 (Princeton, Boston)

New York City

• Skills: Risk Management, Capital Markets, Advisory, Commercial Risk, Control Program, Financial Institution, Diversity, Inclusion, Professional Development, Community Engagement
• Type: Full Time

New York City

• Skills: Credit Risk Analysis, Financial Institutions, Regulated Funds, Risk Management, Counterparty Risk, Economic Analysis, Market Analysis, Transaction Assessment, Credit Limits, Due Diligence
• Experience: 3 to 5 years of Credit Risk experience
• Salary: $100,000 to $145,000/year

New York City

• Skills: E-Trading, Algorithmic, Risk Management, Compliance, Operational Risk, Market Risk, Governance, Policies, Management Information, Stakeholders
• Experience: At least 3 years relevant E-Trading/ Algorithmic experience
• Salary: $145,000 to $175,000 /year

New York City

• Skills: risk management, capital markets, commercial risk, operational risk, data risk, advisory, financial institution, AI oversight, program lead, multiple locations
• Type: Full-time

New York City

• Skills: Non-Financial Risk, operational risks, risk appetite, stakeholders, issue tracking, monitoring, risk assessments, policies, controls, collaboration
• Experience: 3+ years
• Type: Full-time
• Salary: $110K - $140K

New York City

• Skills: legal strategy, commercial transactions, cross-functional, regulatory compliance, leadership, risk management, legal operations, privacy, cybersecurity, deal negotiations
• Experience: 15+ years of legal experience
• Type: Full-time
• Salary: $270,000 – $290,000

New York City

• Skills: digital assets, compliance, testing practices, emerging risks, control gaps, crypto, institutions, custody, trading, settlement

New York City

• Skills: fintech, banking infrastructure, embedded financial products, engineering manager, cloud-native, technical management, stakeholder management, development teams, oversight expertise, regulatory compliance

New York City

• Skills: Capital Markets, Compliance, Regulatory, Project Management, Analytical Skills, Transformation, Stakeholder Management, Risk Management, Agile, Waterfall
• Experience: 2+ years of Capital Markets experience
• Salary: $87,000 - $105,000 USD

New York City

• Skills: compliance, investment banking, regulatory, SEC, FINRA, monitoring, training, risk mitigation, policies, procedures
• Experience: At least five (5) years of professional experience implementing and maintaining compliance programs for investment banking and research.
• Type: Full-time
• Salary: $175,000 - $225,000

New York City

• Skills: securities law, financial markets, crypto ETFs, liquidity provisioning, trading, regulatory requirements, internal policies, regulatory position, digital assets, US regulators
• Experience: Strong US securities law background and traditional financial markets experience

New York City

• Skills: embedded finance, regulatory matters, financial products, product lifecycle, legal experience, compliance, fintech, lending, stakeholder relationships, privacy regulation
• Experience: 4+ years of legal experience in a law firm, regulatory agency, or fast-paced in-house position in financial technology or financial services
• Type: Full-time
• Salary: $180,000 - $210,000

New York City

• Skills: Enterprise Risk Management, Risk Assessment, Risk Measurement, Control Design, Compliance, Advisory Support, Risk Culture, Risk Mitigation, Stakeholder Collaboration, Regulatory Requirements
• Experience: 5+ years related experience
• Type: Full-time
• Salary: $114,000 - $143,000

New York City

• Skills: Compliance, Regulatory, Broker-dealer, FINRA, SEC, Policies, Procedures, Audits, Training, Project management
• Experience: 2-5 years, preferably with broker dealer experience
• Type: Full-time
• Salary: $90,000 to $115,000

New York City

• Skills: compliance, financial services, risk assessments, governance structure, committee charters, policies and procedures, metrics and reporting, B2B payments, payment regulations, organizational skills
• Experience: 3-5 years
• Type: Hybrid
• Salary: $120,000 - $145,000

New York City

• Skills: Legal Advisory, Institutional Financial Products, Regulatory Compliance, Derivatives, Capital Markets, Digital Assets, Risk Management, Cross-functional Collaboration, Financial Services, Contractual Documentation
• Experience: 10+ years in legal advisory role, 7+ years advising on institutional financial products, 7+ years with complex legal transaction negotiations.
• Salary: $276,000 - $374,000

New York City

• Skills: compliance, fintech, Nacha, payments, regulatory, financial partner, product development, risk management, policy, auditors
• Experience: 5-7 years
• Type: Full-time
• Salary: $171,000 - $213,700 (New York City, Los Angeles, Seattle, San Francisco) or $153,900 - $192,300 (elsewhere in US) or $161,600 CAD - $201,900 CAD (Canada)

New York City

• Skills: non-financial risk management, compliance, FBO, regulatory requirements, risk policies, cross-functional collaboration, risk assessments, training programs, strategic leadership, risk-aware culture
• Experience: 10+ years in non-financial risk management within banking or financial institution
• Type: Full-time
• Salary: $215K - $275K

New York City

• Skills: financial securities, regulatory reporting, CFTC, CSA, SEC, analytical thinking, exception management, stakeholder management, Middle Office, trade life cycle
• Experience: 3+ years in Financial Securities Industry Operations; 1+ year in reporting experience.
• Salary: $95K - $120K/year

Bridgewater

• Skills: Regulatory Strategy, Compliance, Documentation, Product Development, International Submissions, Analytical Reasoning, Communication Skills, Interpersonal Skills, Risk Management, Pharmaceutical Industry
• Experience: 2+ years of relevant pharmaceutical industry and regulatory experience; brand experience preferred

New York City

• Skills: privacy, compliance, product counseling, stakeholder engagement, legal advice, data protection, financial technology, collaboration, regulatory, growth
• Experience: 10+ years of legal experience (private practice, in-house, or with a government agency) with deep expertise in privacy and product counseling.
• Salary: $257,400 - 321,700 (US employees in New York City, Los Angeles, Seattle, or the San Francisco Bay Area); $231,700 - 289,500 (US employees outside of these areas)

New York City

• Skills: Risk Management, Regulatory, Analytical skills, Communication skills, Financial products, Stakeholders, Market risk, Credit risk, Operation risk, Business requirements
• Experience: At least 10-15 years of risk management experience
• Salary: $145,000 - $175,000/year

New York City

• Skills: Compliance, Fixed Income, Trade reporting oversight, Regulatory monitoring, Data analysis, Electronic communication reviews, Team collaboration, Problem-solving, Analytical skills, MS Office proficiency
• Experience: 5+ years of Compliance and Fixed Income experience
• Salary: $150,000.00 - $200,000.00 per year

New York City

• Skills: compliance, regulatory, AML, KYC, digital assets, financial products, policies, procedures, training, team management
• Experience: 12+ years of relevant compliance and regulatory experience in finance, fintech, or crypto exchanges
• Type: Full-time
• Salary: $279,000 - $495,000

New York City

• Skills: regulatory updates, compliance advisory, market rules, monitoring controls, compliance risks, regulatory obligations, regulatory reporting, regulatory inquiries, compliance processes, FINRA
• Experience: 2-5 years of relevant working experience in regulatory, compliance or legal department
• Salary: $112,000 to $140,000

New York City

• Skills: compliance, financial services, regulatory, policies and procedures, marketing compliance, training, investor relations, private funds, risk management, audit
• Experience: 8+ years
• Type: Full-time
• Salary: $125,000 - $175,000

New York City

• Skills: Audit, Financial Crimes, AML, CTF, sanctions compliance, risk management, compliance frameworks, stakeholder management, audit execution, team management
• Experience: Strong experience (8+ years) in internal audit, including leadership roles in Financial Crimes at a leading global financial institution, fintech, or Big 4 firm.
• Type: Full-time
• Salary: $127,000 - $228,000

New York City

• Skills: regulatory, compliance, safety standards, claims substantiation, product lifecycle, leadership, team development, domestic & global standards, cross-functional teams, regulatory guidance
• Experience: 6+ years
• Type: Hybrid
• Salary: $110,000 - $130,000

New York City

• Skills: Compliance, Portfolio Management, Trading, Bloomberg AIM, Investment Advisers Act, Investment Company Act, Client Certifications, Forensic Testing, Project Management, Analysis
• Experience: 5+ years compliance experience
• Type: Full-time
• Salary: $150K - $175K/year

New York City

• Skills: Software Engineer, Compliance, Money Operations, Systems, Agile development, Cloud platforms, Financial software, Scalable systems, Collaboration, Regulatory needs
• Experience: 2+ years
• Type: Full time
• Salary: $160K – $190K

New York City

• Skills: Compliance, Risk management, Audit, Data-driven approach, Regulatory requirements, Stakeholder communication, Compliance programs, Reporting, Control testing, Data analysis
• Experience: At least 5 years of experience in audit, compliance, or risk management
• Type: Full-time
• Salary: 60k - 80k

New York City

• Skills: Compliance Manager, operational risk, compliance monitoring, risk reviews, Fintech, compliance policies, validation testing, consumer protection laws, analytical skills, Microsoft Office
• Experience: 3-7 years of proven and progressive experience in a compliance role with a financial institution.
• Salary: $110,000 to $140,000

New York City

• Skills: compliance program, SEC-registered, regulatory filings, investment adviser, market compliance, policies and procedures, securities regulations, team-oriented, in-house experience, legal matters
• Experience: 4+ years in a registered investment adviser compliance role
• Type: Full-time
• Salary: $120,000 - $140,000

New York City

• Skills: Compliance, FINRA, SEC, advertising review, ETFs, mutual funds, cryptocurrencies, tokenized funds, investment adviser, broker/dealer compliance
• Experience: Experience with FINRA advertising review and familiarity with FINRA and SEC rules preferred.

New York City

• Skills: OFAC, KYC, compliance, financial technology, policies, procedures, technology stack, subject matter expert, regulatory, collaboration
• Experience: 5+ years
• Type: Full time
• Salary: $120K – $150K

New York City

• Skills: risk management, compliance, audits, financial services, fintech, cybersecurity, regulations, AML, BSA, NIST
• Experience: 5+ years of hands-on experience in risk operations within a financial services, fintech, or cybersecurity-focused environment
• Type: Full-time
• Salary: $158,000-$180,000

New York City

• Skills: compliance, leadership, regulations, insurance, reinsurance, risk management, global, audits, training, regulatory
• Experience: 10+ years of experience in a multi-line re/insurance carrier; 5+ years in leadership position
• Type: Full-time
• Salary: $250,000 to $300,000 per year

New York City

• Skills: Enterprise Risk Management, Governance, Risk, Compliance, Cyber Risk, Operational Risk, Risk Assessments, Fraud Risk, Stakeholder Management, Mentorship
• Experience: 10+ years
• Salary: $190,000 - $263,500 USD

New York City

• Skills: audit, royalty, compliance, licensing, stakeholders, reporting, analysis, communication, management, improvement
• Experience: 6 - 8 years
• Type: Full-time
• Salary: $125,000 - $150,000

New York City

• Skills: compliance, structured notes, regulatory requirements, risk control, trading desk, training, TRACE reporting, SEC rules, FINRA regulations, capital markets
• Experience: 3–7 years of experience in Compliance, Trade Support, or within a Capital Markets environment
• Type: Full-time
• Salary: $130,000 - $160,000

New York City

• Skills: Legal Counsel, Compliance, Regulatory compliance, BSA, AML, KYC, KYB, Sanctions, Fintech, Payments
• Experience: Prior fintech/banking leadership experience in a compliance role, with experience building a compliance program from the ground up
• Type: Full time

New York City

• Skills: compliance, internal audit, risk management, regulations, policies, control testing, data retention, vendor oversight, financial sector, Agile
• Experience: 5+ years in compliance, internal audit, risk management or related field
• Type: Full-time
• Salary: $90,000-$95,000

New York City

• Skills: corporate governance, compliance, SEC, NASDAQ, board resolutions, audits, proxy statement, trading policy, corporate transactions, investigations
• Experience: Minimum 7 years with at least 2 years as a corporate paralegal in an in-house legal department of a public company.
• Type: Full-time
• Salary: $140,000 - $160,000 USD

New York City

• Skills: Compliance, Risk Management, Regulatory Oversight, Due Diligence, Investor Relations, Internal Controls, Marketing Compliance, Global Compliance, Project Management, Team Leadership
• Experience: 5-7 years in regulatory compliance at a Hedge Fund Registered Investment Adviser
• Type: Full-time
• Salary: $150,000 - $180,000

New York City

• Skills: Risk Management, Hedge Fund, Operations, Compliance, Investment Management, Policies and Procedures, Vendor Management, Risk Assessment, Cybersecurity, Regulations
• Experience: 8+ years of relevant experience at a Hedge Fund, Family Office, or Investment Management firm
• Type: Contract
• Salary: $200 - $400 an hour

New York City

• Skills: product management, payments ecosystem, PCI compliance, guest-centric solutions, collaboration, data-driven, strategic relationships, market research, customer-first, cross-functional teams
• Experience: 8+ years of product management experience
• Type: Full Time
• Salary: $200,000 - $275,000

New York City

• Skills: Regulatory Risk, Financial Services, Risk Management, Compliance, Advisory, Transformation, Consulting, Client Engagement, Risk Assessments, Banking
• Experience: 9+ years of applicable consulting and delivery around Risk & Regulatory strategy and transformation projects
• Type: Full-time
• Salary: $133,000 - $284,000 per year + annual bonus + additional benefits

New York City

• Skills: compliance, surveillance, electronic communications, analysis, financial services, monitoring, reporting, communication patterns, regulatory requirements, investigative intelligence
• Experience: Proven experience in e-communications surveillance, or a closely related field.
• Salary: $73,000 to $110,000

New York City

• Skills: lending infrastructure, compliance, product roadmap, user feedback, engineering, risk management, data analysis, stakeholder management, fintech experience, startup mindset
• Experience: 4+ years of product management experience, with a focus on fintech or lending products.
• Type: Hybrid
• Salary: 175,000-185,000

New York City

• Skills: royalty audit, licensee compliance, risk assessment, audit reporting, financial analysis, stakeholder collaboration, process improvement, audit procedures, licensing business, communication skills
• Experience: 3+ years of audit and accounting experience, preferably with the big 4, with royalty / licensing audits strongly preferred
• Type: Full-time
• Salary: $80,000 - $90,000

New York City

• Skills: Regulatory Risk, Compliance, Financial Services, Risk Management, Transformation, Banking, Capital Markets, Consulting, Strategy, Regulatory Agencies
• Experience: 12-15 years of applicable consulting and delivery around Risk & Regulatory strategy and transformation projects
• Type: Full-Time
• Salary: $169,000 - $356,000 per year + annual bonus + additional benefits

New York City

• Skills: Compliance Management System, regulatory examinations, risk assessment, compliance risk reporting, regulatory requests, process improvement, governance processes, data analysis, stakeholder communication, banking regulations
• Experience: Approximately 5+ years of experience in enterprise risk management, compliance, governance, or related roles within a banking or financial services environment.
• Type: Full-time
• Salary: $130,000 - $145,000 annually

New York City

• Skills: tax compliance, payroll, operations, filings, remittances, account reconciliations, process improvements, cross-functional collaboration, regulatory changes, problem-solving
• Experience: 3–5 years in tax operations, compliance, payroll, or related functions
• Type: Full-time
• Salary: $90,000 - $99,000

New York City

• Skills: risk management, insurance, control framework, risk culture, risk assessment, collaboration, problem solving, analytical skills, financial services, stakeholder management
• Experience: 8+ years

New York City

• Skills: regulatory compliance, SEC Rules, compliance programs, private equity, hedge fund, investment advisers, regulatory policies, compliance violation reports, forensic compliance testing, regulatory examinations

New York City

• Skills: collections strategy, credit card, financial products, risk management, customer engagement, data analytics, leadership, regulatory compliance, operational efficiency, fintech
• Experience: 10+ years of experience in collections strategy & operations, preferably in a credit card, BNPL, or fintech lending environment.
• Type: Full time
• Salary: $250K – $300K

New York City

• Skills: credit analysis, underwriting, fintech, BaaS, portfolio management, risk mitigation, compliance, regulatory exams, mentorship, analytical skills
• Experience: 6+ years of experience in credit analysis, underwriting, or related areas
• Type: Full-time
• Salary: $137,630 - $167,143