Compliance Analyst Jobs in New York
Compliance analyst jobs in New York are among the most active in the country, concentrated in financial services, banking, healthcare, and insurance across Manhattan, Buffalo, and Albany. Major institutions with a lasting presence in New York, including JPMorgan Chase, Citigroup, and New York-Presbyterian, hire compliance analysts at every level from entry-level to senior. The most in-demand specialties are financial regulatory compliance, healthcare compliance, and anti-money laundering. Find a role that fits below and apply directly.
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Showing 5 of 432+ Compliance Analyst jobs
ABOUT ROCKEFELLER CAPITAL MANAGEMENT
Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from offices in 33 markets throughout the United States, as well as an office in London. The Firm oversees $221 billion in client assets as of May 31, 2026.
POSITION
The Compliance Analyst will support the Rockefeller Global Investment Management’s Compliance program, with a focus on testing and monitoring. Responsibilities will also include the development of sustainable controls where control weaknesses are identified during testing. Participation in the firm’s CRA and RCSA processes.
Responsibilities:
- Contribute to the development and execution of the annual Compliance testing plan
- Maintain comprehensive and well-organized testing documentation in accordance with Firm standards
- Prepare clear, concise reports summarizing testing results, key risks identified, and recommended remediation actions
- Support the development, documentation, and tracking of corrective action plans for issues identified through compliance testing
- Partner with Technology teams to support process enhancements and the automation of compliance monitoring and surveillance activities
- Assist with the preparation and distribution of monthly compliance reports and key risk metrics
- Support regulatory filings activities, including Form ADV, Form PF, and Schedules 13D/G, 13F and 13H
- Provide ongoing support to the Portfolio Compliance team, including assistance with due diligence questionnaires (DDQs), compliance certifications, and other ad hoc compliance initiatives
QUALIFICATIONS
- Bachelor’s degree required
- 1-2 years of relevant experience in compliance, internal audit, risk management, or a consulting environment
- Prior experience supporting compliance testing, internal audit or advisory work
- Demonstrated compliance, supervision or legal experience at a broker-dealer or registered investment advisor required; knowledge of complex products is a plus
- Solid understanding of the securities industry, from a regulatory, compliance, operations and corporate governance perspective
- Working knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
- Experience with compliance or order management systems such as Bloomberg AIM or Investortools Perform is a plus
SKILLS:
- Strong written and verbal communication skills with the ability to clearly articulate issues, influence outcomes and translate complex regulatory or technical concepts into actionable recommendations
- Analytical and problem-solving skills, including the ability to identify issues, ask appropriate questions, and escalate matters as needed in a professional, assertive and proactive manner
- Proven ability to work collaboratively in a cross-functional environment and develop effective working relations across all organizational levels
- Highly motivated self-starter with the ability to work independently, prioritize competing deadlines, and adapt to a fast paced, evolving regulatory environment
- Strong organizational and time management skills, with the ability to manage multiple projects concurrently
- Willingness and ability to perform both analytical assignments and routine operational tasks with minimal supervision
- Proficiency in Microsoft’s software ecosystem including Outlook, Word, Excel, PowerPoint and Copilot
COMPENSATION RANGE:
The anticipated base salary range for this role is $75,000 to $85,000. Base salary for the role will depend on several factors, including a candidate’s qualifications, skills, competencies, and experience, and may fall outside of the range shown. In addition, this role may be eligible for a discretionary bonus. Rockefeller Capital Management offers a comprehensive benefit package including health coverage, vacation time, paid leave, retirement plan, and more.
DISCLOSURE:
Rockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc. and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, “Rockefeller”) is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law (“protected characteristics”).
Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.
ABOUT ROCKEFELLER CAPITAL MANAGEMENT
Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from offices in 33 markets throughout the United States, as well as an office in London. The Firm oversees $221 billion in client assets as of May 31, 2026.
POSITION
The Compliance Analyst will support the Rockefeller Global Investment Management’s Compliance program, with a focus on testing and monitoring. Responsibilities will also include the development of sustainable controls where control weaknesses are identified during testing. Participation in the firm’s CRA and RCSA processes.
Responsibilities:
- Contribute to the development and execution of the annual Compliance testing plan
- Maintain comprehensive and well-organized testing documentation in accordance with Firm standards
- Prepare clear, concise reports summarizing testing results, key risks identified, and recommended remediation actions
- Support the development, documentation, and tracking of corrective action plans for issues identified through compliance testing
- Partner with Technology teams to support process enhancements and the automation of compliance monitoring and surveillance activities
- Assist with the preparation and distribution of monthly compliance reports and key risk metrics
- Support regulatory filings activities, including Form ADV, Form PF, and Schedules 13D/G, 13F and 13H
- Provide ongoing support to the Portfolio Compliance team, including assistance with due diligence questionnaires (DDQs), compliance certifications, and other ad hoc compliance initiatives
QUALIFICATIONS
- Bachelor’s degree required
- 1-2 years of relevant experience in compliance, internal audit, risk management, or a consulting environment
- Prior experience supporting compliance testing, internal audit or advisory work
- Demonstrated compliance, supervision or legal experience at a broker-dealer or registered investment advisor required; knowledge of complex products is a plus
- Solid understanding of the securities industry, from a regulatory, compliance, operations and corporate governance perspective
- Working knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
- Experience with compliance or order management systems such as Bloomberg AIM or Investortools Perform is a plus
SKILLS:
- Strong written and verbal communication skills with the ability to clearly articulate issues, influence outcomes and translate complex regulatory or technical concepts into actionable recommendations
- Analytical and problem-solving skills, including the ability to identify issues, ask appropriate questions, and escalate matters as needed in a professional, assertive and proactive manner
- Proven ability to work collaboratively in a cross-functional environment and develop effective working relations across all organizational levels
- Highly motivated self-starter with the ability to work independently, prioritize competing deadlines, and adapt to a fast paced, evolving regulatory environment
- Strong organizational and time management skills, with the ability to manage multiple projects concurrently
- Willingness and ability to perform both analytical assignments and routine operational tasks with minimal supervision
- Proficiency in Microsoft’s software ecosystem including Outlook, Word, Excel, PowerPoint and Copilot
COMPENSATION RANGE:
The anticipated base salary range for this role is $75,000 to $85,000. Base salary for the role will depend on several factors, including a candidate’s qualifications, skills, competencies, and experience, and may fall outside of the range shown. In addition, this role may be eligible for a discretionary bonus. Rockefeller Capital Management offers a comprehensive benefit package including health coverage, vacation time, paid leave, retirement plan, and more.
DISCLOSURE:
Rockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc. and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, “Rockefeller”) is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law (“protected characteristics”).
Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.
See All 432+ Compliance Analyst Jobs in New York
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Find Compliance Analyst JobsCompliance Analyst Jobs by City in New York
Where New York roles are concentrated, by current openings.
Compliance Analyst Job Market in New York
A snapshot from current New York openings, updated as new roles post.
Who's Hiring
- Morgan Stanley36
- Citi23
- Goldman Sachs19
- M&T Bank16
- City of New York11
Top Industries Hiring
- Investment & Asset Management96
- Technology & Software72
- Banking & Financial Services71
- Law & Legal Services47
- Insurance31
What New York Employers Look For
The qualifications that appear most often in compliance analyst jobs across New York.
- Bachelor's degree in finance, law, business, or a related field required
- Knowledge of New York State financial regulations and DFS compliance standards
- Experience with federal and state regulatory frameworks including SEC and FINRA rules
- Certified Compliance and Ethics Professional (CCEP) or similar certification preferred
- Strong analytical skills and experience reviewing policies, contracts, or audit findings
- Proficiency with compliance management software and case tracking systems
Compliance Analyst Jobs in New York: Frequently Asked Questions
How do you become a compliance analyst in New York?
Most compliance analyst roles in New York require a bachelor's degree in finance, business, law, or a related field, along with familiarity with New York Department of Financial Services regulations for finance-sector roles or New York State Department of Health standards for healthcare compliance. No single state license is mandated, but credentials such as the Certified Compliance and Ethics Professional designation or FINRA Series licenses are common requirements among New York employers and strengthen your candidacy considerably.
How much do compliance analysts make in New York?
Compliance analysts in New York earn a median of about $128,920 a year, based on May 2025 Bureau of Labor Statistics wage data, ranging from around $70,710 for the lowest 10% to over $216,090 for the top 10%. Pay rises with experience, specialty, and employer.
Which companies hire compliance analysts in New York?
Employers hiring compliance analysts in New York right now include Morgan Stanley, Citi, and Goldman Sachs, based on current listings on Migrate Mate as of June 2026. New York's dense concentration of major banks, insurance carriers, and hospital networks means compliance analyst openings are consistently available across a wide range of industry sectors.
Which New York cities have the most compliance analyst jobs?
New York, Buffalo, and Getzville have the most compliance analyst openings in New York. Manhattan dominates because of its concentration of global financial institutions, law firms, and healthcare systems, while Buffalo and Albany see demand driven by regional bank headquarters, insurance carriers, and state government regulatory agencies that maintain sizable compliance functions.
Are there remote compliance analyst jobs in New York?
Yes, and more than most fields. About 30% of compliance analyst openings tied to New York are remote or hybrid as of June 2026, reflecting the desk-based, analytical nature of the work. Policy review, regulatory reporting, and audit documentation are the functions most commonly performed fully remote, while roles requiring direct interaction with trading floors or clinical staff tend to require at least some on-site presence.
How can I get hired as a compliance analyst in New York with little or no experience?
The most realistic entry path is moving from a closely adjacent role such as paralegal, audit associate, or financial analyst, where you gain exposure to regulatory documentation and risk assessment. Large New York employers including major banks and hospital networks often post compliance coordinator or junior compliance associate positions designed for candidates without direct compliance experience. Completing a FINRA Series exam or enrolling in a compliance certificate program offered through New York-area universities adds a concrete credential that hiring managers at New York financial institutions consistently recognize.
Where can I find and apply to compliance analyst jobs in New York?
You can find and apply to compliance analyst jobs in New York on Migrate Mate, which lists current New York openings updated regularly. Find the roles that fit your background and apply directly to the employers posting them.
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