Compliance Consultant Jobs in New York
Compliance Consultant jobs in New York are among the most active in the country, concentrated in financial services, healthcare, and insurance across firms and institutions that range from boutique advisory shops to global operations, with openings at every level from junior analyst through senior consultant and director. New York City, Buffalo, and Albany drive the bulk of hiring, with major employers such as JPMorgan Chase, Deloitte, and MetLife maintaining deep compliance practices in the state. The most in-demand specialties are financial regulatory compliance, healthcare compliance, and anti-money laundering advisory. Find a role that fits below and apply directly.
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Showing 5 of 164+ Compliance Consultant jobs
Overview:
Complete Compliance Risk Management activities throughout the enterprise for their assigned area of responsibility. The Compliance Advisor will help develop, implement, and execute strategy of the workflow and performance of personnel to ensure processes are completed in an accurate and timely manner. The Compliance Advisor operates under the firm’s second line of defense independent control function by executing program activities that prevent, detect and mitigate regulatory and compliance risk across the division.
PRIMARY RESPONSIBILITIES:
- Provide compliance oversight, support and guidance for Capital Markets, Commercial Banking, Institutional Broker-Dealer, Investment Banking, FOREX, and Derivatives products and personnel in accordance with fiduciary standards, applicable laws, rules, regulations, and regulatory expectations
- Analyze and assess risk and control environment and provide relevant SME credible challenge, advice, guidance and oversight in strengthening and developing risk mitigation strategies and necessary controls
- Provide SME advice and guidance relating to relevant employee conduct, and associated supervisory framework
- Interact with and assist in oversight of state, federal, domestic and possibly international regulatory relationships and examinations including the Federal Reserve, OCC, SEC, DOL, FINRA, CFPB, CFTC, State of New York, and/or the State of Delaware, as applicable
- Provide SME guidance on regulatory development implementation, including guidance related to policies/procedures, training, key risk indicators, governance, control implementation and supervisory framework needed
- Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable
- Assist in development and manage divisional and enterprise-wide policies, standards, procedures, training and control standards designed to minimize regulatory exposure
- Identify, measure, respond, and escalate compliance risk issues to the Compliance Director and/or the Lines of Business (LOBs) as necessary
- Work with the Compliance Director to engage other Risk Departments, Internal Audit, Legal and/or Regulatory Affairs regarding interrelated risk issues impacting fiduciary, operational, credit, strategic, reputation, market, liquidity, interest rate and capital risks
- Interact with numerous risk and executive management, lines of Business, and support organizations such as Internal Audit and Legal on an ongoing basis to ensure the division is operating within the defined Enterprise risk framework and Board-mandated compliance risk tolerance
- Participate and provide expertise in relation to the Risk Assessment Process along with identifying potential enhancements where necessary
- Execute strategic priorities for the group as the Second Line of Defense, potentially impacting the enterprise, and ensure ongoing compliance across the division and enterprise
- Provide Second Line of Defense Credible Challenge to the Business line and senior management in assigned Line of Business by identifying, assessing, documenting, monitoring, and communicating risks, recommending solutions and evaluating ultimate resolution of such risks
- Demonstrate strong critical thinking and problem-solving skills with an ability to challenge/translate ambiguous issues into well-defined risk exposure statements and sustainable solutions
- Analyze and stay current on rules and regulations applicable to the use and sale of Capital Markets, Commercial Banking, Institutional Broker-Dealer, Investment Banking, FOREX, and Derivatives products and services Evaluate and provide guidance with other stakeholders on new and evolving business products and services from a fiduciary and regulatory compliance risk perspective
- Perform testing oversight, including the review of surveillance activities and focused forensic reviews to assess compliance risks and identify potential breaches
- Promote an environment that values diversity and reflects the M&T Bank brands
- Complete other related duties as assigned.
SPECIFIC TO POSTING – PROVIDE ADVICE, GUIDANCE AND OVERSIGHT TO ORGANIZATION AND 1ST LINE BUSINESS PARTNERS CONCERNING:
- Related and Relevant Policies, Procedures and Industry Best Practices
- Debt and Equity Capital Markets
- Real Estate Capital Markets
- Treasury Capital Markets
- Foreign Exchange
- Derivatives
- Commercial Banking
- Institutional Broker/Dealer
- Loan Trading
- M&A Advisory
- Leveraged Finance
- Controls, Policies and Procedures
- Compliance Risk Assessments
- Root Cause Analysis
- Internal and Employee Investigations
- Employee Conduct
- Training creation and Delivery
- Development and refinement of policies and procedures
- Interacting with Internal and External Examination Staff and assisting in responding to related findings/concerns
- Responsible Banking: Fair lending laws and regulation (federal and state); unfair, deceptive and abuse acts and practices (UDAAP)
- Governance: Issues management, examination management, reporting, risk assessment, quality control and assurance, budgeting, technology solutions, compliance training
- Relevant Rules and Regulations (Securities Act of 1933, Securities and Exchange Act of 1934, Investment Advisors Act of 1940, Investment Company Act of 1940, FINRA Rule and Regulations, CFTC, Dodd-Frank, Volcker, Reg 9, Reg R, etc.)
- Related Information Barrier/Employee Trading Rules, Regulations and Practices
- Related Privacy Rules, Regulations and Practices
- Private equity and private placements
- Trade Reporting, Best Execution, Order Flow and Soft Dollars
- Product Development and Review
- Regulatory Filings
- Drafting, providing advice, guidance and SME relating to customer disclosures
- Marketing Collateral review and challenge (as needed)
- Testing and Project Management: All CRM testing functions as well as enterprise testing support to other departments
- Enterprise: Laws and rules that apply across the enterprise, such as privacy rules, FCRA, TCPA, Reg W, the Volcker Rule, Reg O, Dodd-Frank, Sarbanes-Oxley, etc
- BSA/AML & OFAC: Laws and rules that apply to BSA/AML/Sanctions program including Customer Due Diligence, suspicious activity, OFAC and regulatory reporting.
EDUCATION AND EXPERIENCE REQUIRED:
Bachelor's Degree in related field.
6 years’ experience in compliance, legal, audit or risk
OR in lieu of degree,
A combined minimum 10 years higher education and/or work experience, including 6 years in compliance, legal, audit or risk
Working knowledge of relevant regulations, regulatory guidance and industry best practices
Experience providing guidance and credible challenge in relation to sales practices, supervisory structure and enhancement of supervisory framework
EDUCATION AND EXPERIENCE PREFERRED:
Thorough knowledge of operations, systems, and practices within subject matter business unit(s) (e.g. Fiduciary conduct standards)
Knowledge of relevant and related regulations, investment product knowledge, regulatory guidelines and expectations, industry best practices, and policies and procedures in responsible area
Capital Markets, Institutional Broker-Dealer, Investment Banking, FOREX, Derivatives and CFTC compliance and operational risk oversight experience preferred Proven track record in risk assessment and control oversight (including significant experience in identifying regulatory compliance and operational risks, control issues, implementing corrective actions and best practices).
COMPENSATION:
The pay range for this position is $109,300.00 - $182,100.00 Annual (USD). The successful candidate’s particular combination of knowledge, skills, and experience will inform their specific compensation.
LOCATION:
New York, New York, United States of America
Overview:
Complete Compliance Risk Management activities throughout the enterprise for their assigned area of responsibility. The Compliance Advisor will help develop, implement, and execute strategy of the workflow and performance of personnel to ensure processes are completed in an accurate and timely manner. The Compliance Advisor operates under the firm’s second line of defense independent control function by executing program activities that prevent, detect and mitigate regulatory and compliance risk across the division.
PRIMARY RESPONSIBILITIES:
- Provide compliance oversight, support and guidance for Capital Markets, Commercial Banking, Institutional Broker-Dealer, Investment Banking, FOREX, and Derivatives products and personnel in accordance with fiduciary standards, applicable laws, rules, regulations, and regulatory expectations
- Analyze and assess risk and control environment and provide relevant SME credible challenge, advice, guidance and oversight in strengthening and developing risk mitigation strategies and necessary controls
- Provide SME advice and guidance relating to relevant employee conduct, and associated supervisory framework
- Interact with and assist in oversight of state, federal, domestic and possibly international regulatory relationships and examinations including the Federal Reserve, OCC, SEC, DOL, FINRA, CFPB, CFTC, State of New York, and/or the State of Delaware, as applicable
- Provide SME guidance on regulatory development implementation, including guidance related to policies/procedures, training, key risk indicators, governance, control implementation and supervisory framework needed
- Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable
- Assist in development and manage divisional and enterprise-wide policies, standards, procedures, training and control standards designed to minimize regulatory exposure
- Identify, measure, respond, and escalate compliance risk issues to the Compliance Director and/or the Lines of Business (LOBs) as necessary
- Work with the Compliance Director to engage other Risk Departments, Internal Audit, Legal and/or Regulatory Affairs regarding interrelated risk issues impacting fiduciary, operational, credit, strategic, reputation, market, liquidity, interest rate and capital risks
- Interact with numerous risk and executive management, lines of Business, and support organizations such as Internal Audit and Legal on an ongoing basis to ensure the division is operating within the defined Enterprise risk framework and Board-mandated compliance risk tolerance
- Participate and provide expertise in relation to the Risk Assessment Process along with identifying potential enhancements where necessary
- Execute strategic priorities for the group as the Second Line of Defense, potentially impacting the enterprise, and ensure ongoing compliance across the division and enterprise
- Provide Second Line of Defense Credible Challenge to the Business line and senior management in assigned Line of Business by identifying, assessing, documenting, monitoring, and communicating risks, recommending solutions and evaluating ultimate resolution of such risks
- Demonstrate strong critical thinking and problem-solving skills with an ability to challenge/translate ambiguous issues into well-defined risk exposure statements and sustainable solutions
- Analyze and stay current on rules and regulations applicable to the use and sale of Capital Markets, Commercial Banking, Institutional Broker-Dealer, Investment Banking, FOREX, and Derivatives products and services Evaluate and provide guidance with other stakeholders on new and evolving business products and services from a fiduciary and regulatory compliance risk perspective
- Perform testing oversight, including the review of surveillance activities and focused forensic reviews to assess compliance risks and identify potential breaches
- Promote an environment that values diversity and reflects the M&T Bank brands
- Complete other related duties as assigned.
SPECIFIC TO POSTING – PROVIDE ADVICE, GUIDANCE AND OVERSIGHT TO ORGANIZATION AND 1ST LINE BUSINESS PARTNERS CONCERNING:
- Related and Relevant Policies, Procedures and Industry Best Practices
- Debt and Equity Capital Markets
- Real Estate Capital Markets
- Treasury Capital Markets
- Foreign Exchange
- Derivatives
- Commercial Banking
- Institutional Broker/Dealer
- Loan Trading
- M&A Advisory
- Leveraged Finance
- Controls, Policies and Procedures
- Compliance Risk Assessments
- Root Cause Analysis
- Internal and Employee Investigations
- Employee Conduct
- Training creation and Delivery
- Development and refinement of policies and procedures
- Interacting with Internal and External Examination Staff and assisting in responding to related findings/concerns
- Responsible Banking: Fair lending laws and regulation (federal and state); unfair, deceptive and abuse acts and practices (UDAAP)
- Governance: Issues management, examination management, reporting, risk assessment, quality control and assurance, budgeting, technology solutions, compliance training
- Relevant Rules and Regulations (Securities Act of 1933, Securities and Exchange Act of 1934, Investment Advisors Act of 1940, Investment Company Act of 1940, FINRA Rule and Regulations, CFTC, Dodd-Frank, Volcker, Reg 9, Reg R, etc.)
- Related Information Barrier/Employee Trading Rules, Regulations and Practices
- Related Privacy Rules, Regulations and Practices
- Private equity and private placements
- Trade Reporting, Best Execution, Order Flow and Soft Dollars
- Product Development and Review
- Regulatory Filings
- Drafting, providing advice, guidance and SME relating to customer disclosures
- Marketing Collateral review and challenge (as needed)
- Testing and Project Management: All CRM testing functions as well as enterprise testing support to other departments
- Enterprise: Laws and rules that apply across the enterprise, such as privacy rules, FCRA, TCPA, Reg W, the Volcker Rule, Reg O, Dodd-Frank, Sarbanes-Oxley, etc
- BSA/AML & OFAC: Laws and rules that apply to BSA/AML/Sanctions program including Customer Due Diligence, suspicious activity, OFAC and regulatory reporting.
EDUCATION AND EXPERIENCE REQUIRED:
Bachelor's Degree in related field.
6 years’ experience in compliance, legal, audit or risk
OR in lieu of degree,
A combined minimum 10 years higher education and/or work experience, including 6 years in compliance, legal, audit or risk
Working knowledge of relevant regulations, regulatory guidance and industry best practices
Experience providing guidance and credible challenge in relation to sales practices, supervisory structure and enhancement of supervisory framework
EDUCATION AND EXPERIENCE PREFERRED:
Thorough knowledge of operations, systems, and practices within subject matter business unit(s) (e.g. Fiduciary conduct standards)
Knowledge of relevant and related regulations, investment product knowledge, regulatory guidelines and expectations, industry best practices, and policies and procedures in responsible area
Capital Markets, Institutional Broker-Dealer, Investment Banking, FOREX, Derivatives and CFTC compliance and operational risk oversight experience preferred Proven track record in risk assessment and control oversight (including significant experience in identifying regulatory compliance and operational risks, control issues, implementing corrective actions and best practices).
COMPENSATION:
The pay range for this position is $109,300.00 - $182,100.00 Annual (USD). The successful candidate’s particular combination of knowledge, skills, and experience will inform their specific compensation.
LOCATION:
New York, New York, United States of America
See All 164+ Compliance Consultant Jobs in New York
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Find Compliance Consultant JobsCompliance Consultant Jobs by City in New York
Where New York roles are concentrated, by current openings.
Compliance Consultant Job Market in New York
A snapshot from current New York openings, updated as new roles post.
Who's Hiring
- EY19
- EXL8
- M&T Bank8
- BDO5
- Alvarez & Marsal4
Top Industries Hiring
- Technology & Software33
- Accounting & Auditing32
- Consulting & Professional Services31
- Insurance22
- Investment & Asset Management22
What New York Employers Look For
The qualifications that appear most often in compliance consultant jobs across New York.
- Bachelor's degree in law, finance, business, or a related field required
- Professional certification such as CCEP, CRCM, or CFE strongly preferred
- Three or more years of experience in a regulated New York industry environment
- Deep knowledge of New York State and federal regulatory frameworks
- Experience advising on DFS, SEC, or OCC compliance requirements
- Strong written communication skills for policy documentation and audit reporting
Compliance Consultant Jobs in New York: Frequently Asked Questions
How do you become a compliance consultant in New York?
Most compliance consultants in New York start with a bachelor's degree in finance, law, business, or accounting, then move into a regulatory or audit role at a bank, insurer, or healthcare organization. New York has no single state-issued license for the role, but employers in DFS-regulated industries expect familiarity with New York State Department of Financial Services rules. Certifications like the CCEP or CRCM are the most recognized credentials and give candidates a clear edge when applying to larger institutions.
How much do compliance consultants make in New York?
Compliance consultants in New York earn a median of about $90,080 a year, based on May 2025 Bureau of Labor Statistics wage data, ranging from around $53,330 for the lowest 10% to over $142,370 for the top 10%. Pay rises with experience, specialty, and employer.
Which companies hire compliance consultants in New York?
Employers hiring compliance consultants in New York right now include EY, EXL, and M&T Bank, based on current listings on Migrate Mate as of June 2026. New York's dense concentration of DFS-regulated banks, global insurers, and healthcare systems means hiring is consistent year-round rather than tied to seasonal waves.
Which New York cities have the most compliance consultant jobs?
New York, Buffalo, and New York have the most compliance consultant openings in New York. New York City accounts for the largest share by far, driven by its concentration of global banks, investment firms, and insurance carriers, while Albany sees steady demand from state-regulated agencies and healthcare networks, and Buffalo draws openings from regional banks and manufacturing firms navigating federal compliance requirements.
Are there remote compliance consultant jobs in New York?
Yes, and more than most fields. About 46% of compliance consultant openings tied to New York are remote or hybrid as of June 2026, reflecting how much of the work involves policy review, documentation, and regulatory analysis rather than on-site presence. The most remote-friendly sub-areas are privacy compliance, AML advisory, and regulatory reporting roles that do not require physical access to business operations.
How can I get hired as a compliance consultant in New York with little or no experience?
The most realistic entry path is through a compliance analyst or risk operations associate role at a mid-size New York bank, insurer, or healthcare system, where teams often hire candidates with strong academic backgrounds and train on DFS and federal regulatory frameworks. Large employers such as Citigroup and New York-Presbyterian run structured rotational or new-graduate programs that feed directly into compliance functions. A CCEP certification candidacy or coursework toward a law or finance graduate degree also signals seriousness to New York hiring managers.
Where can I find and apply to compliance consultant jobs in New York?
You can find and apply to compliance consultant jobs in New York on Migrate Mate, which lists current openings tied to the state. Search by city or specialty to see roles that match your background, then apply directly to the ones that fit.
See All 164+ Compliance Consultant Jobs in New York
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