Compliance Analyst Remote & Hybrid Only Jobs in New York
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.
Senior Lead Compliance Officer - Prime Brokerage & Equities
- Wells Fargo
- New York, NY
- 20 hours ago
- New York, NY
- 20 hours ago
The Senior Lead Compliance Officer will provide compliance coverage for Prime Brokerage, while extending support across Cash Equities and broader broker-dealer activities, partnering closely with business...
HybridLocation: New York City, NY, / Columbia, MD (Hybrid) In this position, you'll be based in the New York City or Columbia, MD office for a minimum of three days a week, with the flexibility to work...
RemoteCompliance Associate Location: Larkin Bldg @ Exchange Street Location of Job : US:NY:Buffalo Work Type : Full-Time Shift 1 Job Description Provide support to Internal Audit, Corporate Compliance...
HybridSenior Compliance Officer, Security Based Swaps
- StoneX Group Inc.
- New York, NY
- 12 days ago
- New York, NY
- 12 days ago
experience at a regulator, private firm, broker dealer or required Expert knowledge of SEC, FINRA rules related to security-based swap dealer rules required, including SEC and FINRA rules governing equities...
Hybridprocesses, controls, and fiduciary risk expectations Ability to translate investment complexity into structured risk frameworks Experience with risk tools (Bloomberg/PORT, Morningstar, Charles River IMS, FactSet...
HybridRegional Compliance Officer (West) - Key Investment Services (KIS)
- Keybank National Association
- Albany, NY
- 21 days ago
- Albany, NY
- 21 days ago
Location: For Those Who Work At Home, Washington Job Summary The Compliance Officer plays a key role in ensuring Key Investment Services LLC meets regulatory and internal standards. The primary...
RemoteSenior Compliance Officer - US&C Investments
- Marsh & McLennan Companies, Inc.
- New York, NY
- 27 days ago
- New York, NY
- 27 days ago
Marsh US&C Investments Compliance is recruiting for a Senior Compliance Officer who will work three days a week in our Boston or New York office alongside our team. The team at Marsh will prepare...
HybridSenior Compliance Associate, Activation & Controls Growth and Transformation
- Red Ventures
- New York, NY
- 30+ days ago
- New York, NY
- 30+ days ago
This role is not open to visa sponsorship or transfer of visa sponsorship including those on H1-B, F-1, OPT, STEM-OPT, or TN visa, nor is it available to work corp-to-corp. This role requires a...
HybridMonitoring & Surveillance Compliance Officer (Vice President)
- CA CIB Americas
- New York, NY
- 30+ days ago
- New York, NY
- 30+ days ago
Retour Accueil Nos offres Monitoring & Surveillance Compliance Officer (Vice President) Type de contrat : CDI Monitoring & Surveillance Compliance Officer (Vice President) Modifiee le 21/04/2026...
Hybrid- M&T Bank
- New York, NY
- 45+ days ago
- New York, NY
- 45+ days ago
Overview: Complete Compliance Risk Management activities throughout the enterprise for their assigned area of responsibility. The Compliance Advisor will help develop, implement, and execute...
HybridCompliance Associate, Market Surveillance Unit
- New York Life Insurance Company
- White Plains, NY
- 60+ days ago
- White Plains, NY
- 60+ days ago
What Youll Bring: Bachelors degree preferred Series 7 license, or ability to obtain within 12 months Knowledge of life insurance, annuities, and securities products (mutual funds, equities, and managed...
HybridThe Equities Compliance Officer will work as a member of the Americas Risk and Compliance team based in TP ICAP's New York offices and report into the Head of Equities Compliance....
HybridSenior Analyst, Compliance Quality Operations
- Circle
- New York, NY
- 90+ days ago
- New York, NY
- 90+ days ago
Circle (NYSE: CRCL) is one of the world's leading internet financial platform companies, building the foundation of a more open, global economy through digital assets, payment applications, and...
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Salary for Compliance Analyst Jobs in New York
Required or preferred licenses and certifications for Compliance Analyst positions.
Highest Education Level
Compliance Analysts in New York offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Analyst position
- Engineering
- ISO Certified
- Product Development
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Internal Audits
- OFAC
- 21 CFR 820
- Certified Employee Benefit Specialist
- Tila Respa Integrated Disclosures
- Equities
- Management Reporting
- Securities and Exchange Commission
- BSA
- Derivatives
- Know Your Customer
- Audit Support
- Fixed Income
- Internal Control
- Investment Management
- Anti-Money Laundering
- Financial Services
- Due Diligence
- Resolution
- Finance
- Accounting
- Reimbursement
- Analytical Skills
- Risk Management
- Strategy Development
- Auditing
- Written Communication
- Investigation
- Documentation
- Interpersonal Skills
- Implementation
- Verbal Communication
- Reporting
- Policy Development
- Filing
- Collaboration
- Education Experience
- Bachelor's Degree
- Sales
- Regulations
- Microsoft Excel
- Research Skills
- Microsoft Office
- Project Management
- Problem Solving
- Staff Supervision
- Scheduling
- Time Management
- Leadership
- Communication Skills
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