Top Compliance Analyst Jobs in NYC, NY

The Compliance Analyst ensures adherence to legal and internal regulations by developing policies, conducting audits, and implementing compliance procedures across departments. The role involves managing risk assessments, employee training, and regulatory documentation to ensure compliance within the organization.

The Compliance Analyst will develop a FinTech marketplace, assist with regulatory examinations and compliance requirements, review marketing materials, implement new technologies, and provide training within the organization. A strong focus is on ensuring adherence to securities laws and enhancing the compliance process.

The GRC Compliance Analyst will lead audit readiness initiatives for compliance, manage the cyber risk register, oversee security and privacy policies, develop risk analytics programs, and perform vendor risk assessments to ensure compliance with various frameworks and regulations.

The Compliance Analyst/Associate will implement and maintain compliance policies, assist in resolving conflicts of interest, file regulatory reports, and respond to inquiries and exams. Additionally, they will manage the Global Code of Ethics and collaborate with legal counsel on document production for subpoenas and litigation.