Compliance Analyst Jobs in New York, NY
A Compliance Analyst in the finance industry plays a crucial role in ensuring that the operations and business transactions follow all relevant legal, regulatory, and internal rules. They are responsible for reviewing and setting standards for operational procedures, drafting and implementing company policies, and conducting periodic audits to ensure compliance. These professionals also provide guidance on compliance matters and act as the point of contact for regulatory bodies. They help prevent business disruptions, financial loss, and potential damage to an organization's reputation caused by non-compliance.
Compliance Analysts should possess strong analytical, problem-solving, and communication skills. They should also have a thorough understanding of compliance standards and regulations, and a keen eye for detail. A Bachelor's degree in finance, business, or a related field is usually required, and a Master's degree can be beneficial. Additionally, certification like the Certified Regulatory Compliance Manager (CRCM) can boost their credibility. Before becoming a Compliance Analyst, a person may have roles such as a Compliance Assistant, Risk Management Specialist, or a Financial Analyst. These roles provide the necessary experience in understanding financial regulations and the operational aspects of the finance industry.
This is a high-impact role within a small team focused on equity research distribution for institutional clients....
New York City Risk and Compliance Consultant - 2026
- New York City, NY (2 miles from New York, NY)
- 23 hours ago
- New York City, NY (2 miles from New York, NY)
- 23 hours ago
JOB REQUISITION New York City Risk and Compliance Consultant - 2026 LOCATION NEW YORK CITY ADDITIONAL LOCATION(S) JOB DESCRIPTION Are You Ready to Live Something Different with Protiviti? The...
Advisory Compliance Officer - Fixed Income Business Line Compliance
- New York, NY
- 23 hours ago
- New York, NY
- 23 hours ago
Apply Req ID: Req1433443 Date posted 06/25/2025 Advisory Compliance Officer - Fixed Income Business Line Compliance Country: United States of America Your Journey Starts Here: Santander is a...
Director, Markets Compliance Officer
- New York City, NY (2 miles from New York, NY)
- 23 hours ago
- New York City, NY (2 miles from New York, NY)
- 23 hours ago
Requisition ID: 225527 Salary Range: 180.000,00 - 301.500,00 Please note that the Salary Range shown is a guideline only. Salary offered may vary based on factors, including, but not limited to,...
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Join Mizuho as a Business Analyst IT for Compliance Technology! In this role you will bridge business needs and IT solutions within the compliance field. This role involves analyzing requirements,...
Our client, a major bank in New York City, is looking for IT Business Analyst - Compliance Systems. Permanent position with competitive compensation package (base range is 150K - 165K), excellent...
- New York City, NY (2 miles from New York, NY)
- 1 day ago
- New York City, NY (2 miles from New York, NY)
- 1 day ago
Job Description: Position Summary Guggenheim Securities is seeking a motivated compliance professional to assist its Compliance Team. The successful candidate will assist a highly collaborative...
AML / OFAC Compliance Officer / Advisory (Financial Security)
- New York, NY
- 4 days ago
- New York, NY
- 4 days ago
Summary: A This position is placed within the Advisory group of the Financial Security team. The position's main responsibilities are centered on the following: reviewing and validating high risk...
Governance, Risk and Compliance Analyst - Customer Assurance
- New York, NY
- 6 days ago
- New York, NY
- 6 days ago
Governance, Risk and Compliance Analyst - Customer Assurance New York City | GRC Come join the company that is reinventing cloud security and empowering businesses to thrive in the cloud....
- Peck Slip, NY (2 miles from New York, NY)
- 6 days ago
- Peck Slip, NY (2 miles from New York, NY)
- 6 days ago
The New York City Department of Youth and Community Development (DYCD) invests in a network of community-based organizations and programs to alleviate the effects of poverty and to provide...
Sr. Compliance Officer - Monitoring & Compliance Oversight, TD Securities
- New York, NY
- 6 days ago
- New York, NY
- 6 days ago
In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank....
Chase Auto Compliance Officer VP
- Brooklyn, NY (3 miles from New York, NY)
- 6 days ago
- Brooklyn, NY (3 miles from New York, NY)
- 6 days ago
JobID: 210639427 Category: Marketing Delivery JobSchedule: Full time Posted Date: 2025-06-23T19:35:29+00:00 JobShift: Base Pay/Salary: Brooklyn,NY $114,000.00-$180,000.00; Jersey City,NJ...
Agency Description: The Department of Small Business Services (SBS) helps unlock economic potential and create economic security for all New Yorkers by connecting New Yorkers to good jobs,...
Compliance Associate Electronic Trading ComplianceNew New York, NY
- New York, NY
- 7 days ago
- New York, NY
- 7 days ago
Compliance Associate - Electronic Trading Compliance at Interactive Brokers New York, NY Company Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company...
Who We Are: Oppenheimer & Co. Inc. (Oppenheimer) is a leading middle-market investment bank and full-service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range...
Demographic Data for New York, NY
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Salary for Compliance Analyst Jobs in New York, NY
Required or preferred licenses and certifications for Compliance Analyst positions.
Highest Education Level
Compliance Analysts in New York, NY offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Analyst position
- ISO Certified
- Retail
- Retail Banking
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Mortgage Lending
- Internal Audits
- Private Banking
- 21 CFR 820
- Equity Research
- BSA
- Equities
- Derivatives
- Internal Control
- Wealth Management
- Fixed Income
- Capital Markets
- Securities and Exchange Commission
- Lending
- Financial Services
- Mortgage Processing
- Anti-Money Laundering
- Business Administration
- Finance
- Accounts Receivable
- Information Technology
- Reimbursement
- Accounting
- Risk Management
- Staffing
- Analytical Skills
- Implementation
- Payroll
- Auditing
- Investigation
- Verbal Communication
- Collaboration
- Documentation
- Reporting
- Bachelor's Degree
- Filing
- Regulations
- Policy Development
- Microsoft Office
- Problem Solving
- Microsoft Excel
- Research Skills
- Time Management
- Staff Supervision
- Organization
- Scheduling
- Leadership
- Communication Skills
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