Regulatory Compliance Specialist Jobs in New York
Regulatory Compliance Specialist jobs in New York are among the most active in the country, concentrated in financial services, healthcare, pharmaceuticals, and energy, with openings at every level from entry-level analyst through senior compliance officer. The heaviest hiring is in New York City, Buffalo, and Albany, where employers like JPMorgan Chase, Pfizer, and Con Edison maintain large compliance teams. The most in-demand specializations include financial regulatory compliance, FDA and pharmaceutical compliance, and environmental and energy regulation. Find a role that fits below and apply directly.
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Showing 5 of 27+ Regulatory Compliance Specialist jobs
Description du poste
The IGE Senior Auditor of Regulatory Compliance (non-AML), under the guidance of a Lead Auditor, performs assessments of the 1st (adherence) and 2nd line (advisory and testing) Compliance internal control framework. He/she performs independent testing and analysis on specific controls in order to meet the audit’s objectives, and documents design and effectiveness testing results in line with methodology requirements and Internal Audit Standards. He/she also contributes to drafting the debriefing presentation and the final report sent to Management.
Key Responsibilities
The IGE Senior Auditor is expected to work independently under minimum supervision, provide appropriate effective challenge of the control environment, and manage his/her time to meet all deliverable dates to keep the audit plan on schedule.
I – Audit assignments and Continuous Monitoring
The Senior Auditor is responsible for carrying out audit work as assigned by the Lead Auditor within the defined timeframes in accordance with IGE methodology and procedures and Internal Audit standards. Audit work includes continuous monitoring, formal audit coverage, and at times may include regulatory issue validation testing:
ï‚· Independently carry out audit planning and fieldwork of audit coverage, including:
- A preliminary assessment of the audited activity highlighting the related risks and controls
- Interviews, testing and analysis of the results of the controls planned in the audit program
- Documented awareness of the regulatory requirements, impacts, and/or expectations
ï‚· Provide comprehensive documentation in test sheets the controls performed and conclusions reached
ï‚· Identify and report on strengths and weaknesses of the audited areas, analyze the root causes and risk impact of the identified weaknesses, develop remediation and recommendations to address the audit findings and conclude on the effectiveness of the control set-up and business practices
ï‚· Maintain open communication with auditees during coverage to prevent confusion or surprises, including documenting issues and identifying owners during the audit
Present audit conclusions to IGE management and to the management of the audited unit (debriefing presentation, final audit report, etc.)
 Keep the Lead Auditor of the assignment/ Local Head of Audit informed of the progress on the audit work assigned, and escalate any issues that may impact or delay the audit’s execution, or raise any other relevant information on the assigned audit and the risk and control environment
ï‚· Conduct recommendations follow-ups through the monitoring of remediation status and corrective actions taken by Management prior to closing any recommendations
ï‚· Properly archive of any supporting documentation, audit evidence and deliverables in the designated IGE tools.
Salary Range: $110k-$140k
#LI-DNI
Critères de candidature
Niveau d'étude minimumBac + 3 / L3Formation / SpécialisationEducation - Essential  Bachelor or post graduate degree in accounting, business, finance, engineering or relevant field (or relevant experience)
Education - Desirable ï‚· Industry recognized certification (CPA, CIA, CISA, ACAMS)
Experience - Required ï‚· 3 to 5 years of experience in internal audit covering regulatory compliance, or related internal control function with awareness of financial services regulatory compliance
Experience - Desirable  Working knowledge of SR 08-8Niveau d'expérience minimum3 - 5 ansCompétences recherchéesCompetencies Required  Curiosity and willingness to learn the financial services landscape and IGE methodology Analytical skills Organization Verbal & written communication skills Ability to work autonomously under deliverable timelines Team spirit Proficiency in Word, Excel and PowerPoint Fluent in English
Competencies Desirable  Relationship management Ability to work in multi-disciplinary and multicultural teams Basic FrenchOutils informatiquesSkills & Knowledge Requirements  Auditing techniques Understanding of the risks generated by banking / securities activities Skills & Knowledge Desirables  Understanding of financial services regulatory complianceLanguesEnglishEntreprise Crédit Agricole CIB
Rejoignez les équipes de Crédit Agricole CIB, la banque de financement et d'investissement du groupe Crédit Agricole, 10e groupe bancaire mondial en taille de bilan*.
Nous accompagnons les grandes entreprises et institutions financières dans leur développement et le financement de leurs projets. Pionniers dans la finance responsable, l'engagement social et environnemental sont au cœur de nos activités.
Intégrer nos équipes c'est contribuer au développement d'une économie durable.
Vous évoluerez dans un environnement multiculturel, à la fois dynamique et stimulant, dans lequel vous serez encouragé à innover et partager vos idées.
Nous sommes une entreprise qui accompagne ses collaborateurs tout au long de leur parcours. Vous pourrez y développer vos compétences et accéder aux larges opportunités de carrière qu'offrent la diversité de nos métiers et nos 30 implantations internationales.
Notre culture repose sur la force du collectif et l'esprit d'ouverture, où chacun est responsabilisé et valorisé.
En agissant chaque jour dans l'intérêt de la société, Crédit Agricole CIB s'inscrit dans les valeurs du groupe qui est engagé en faveur des diversités et de l'inclusion et qui place l'humain au cœur de toutes ses transformations. Tous nos postes sont ouverts aux personnes en situation de handicap.
Vous souhaitez prendre part à notre mission ? Rejoignez nos équipes !
- The Banker, Juillet 2025
Description du poste
The IGE Senior Auditor of Regulatory Compliance (non-AML), under the guidance of a Lead Auditor, performs assessments of the 1st (adherence) and 2nd line (advisory and testing) Compliance internal control framework. He/she performs independent testing and analysis on specific controls in order to meet the audit’s objectives, and documents design and effectiveness testing results in line with methodology requirements and Internal Audit Standards. He/she also contributes to drafting the debriefing presentation and the final report sent to Management.
Key Responsibilities
The IGE Senior Auditor is expected to work independently under minimum supervision, provide appropriate effective challenge of the control environment, and manage his/her time to meet all deliverable dates to keep the audit plan on schedule.
I – Audit assignments and Continuous Monitoring
The Senior Auditor is responsible for carrying out audit work as assigned by the Lead Auditor within the defined timeframes in accordance with IGE methodology and procedures and Internal Audit standards. Audit work includes continuous monitoring, formal audit coverage, and at times may include regulatory issue validation testing:
ï‚· Independently carry out audit planning and fieldwork of audit coverage, including:
- A preliminary assessment of the audited activity highlighting the related risks and controls
- Interviews, testing and analysis of the results of the controls planned in the audit program
- Documented awareness of the regulatory requirements, impacts, and/or expectations
ï‚· Provide comprehensive documentation in test sheets the controls performed and conclusions reached
ï‚· Identify and report on strengths and weaknesses of the audited areas, analyze the root causes and risk impact of the identified weaknesses, develop remediation and recommendations to address the audit findings and conclude on the effectiveness of the control set-up and business practices
ï‚· Maintain open communication with auditees during coverage to prevent confusion or surprises, including documenting issues and identifying owners during the audit
Present audit conclusions to IGE management and to the management of the audited unit (debriefing presentation, final audit report, etc.)
 Keep the Lead Auditor of the assignment/ Local Head of Audit informed of the progress on the audit work assigned, and escalate any issues that may impact or delay the audit’s execution, or raise any other relevant information on the assigned audit and the risk and control environment
ï‚· Conduct recommendations follow-ups through the monitoring of remediation status and corrective actions taken by Management prior to closing any recommendations
ï‚· Properly archive of any supporting documentation, audit evidence and deliverables in the designated IGE tools.
Salary Range: $110k-$140k
#LI-DNI
Critères de candidature
Niveau d'étude minimumBac + 3 / L3Formation / SpécialisationEducation - Essential  Bachelor or post graduate degree in accounting, business, finance, engineering or relevant field (or relevant experience)
Education - Desirable ï‚· Industry recognized certification (CPA, CIA, CISA, ACAMS)
Experience - Required ï‚· 3 to 5 years of experience in internal audit covering regulatory compliance, or related internal control function with awareness of financial services regulatory compliance
Experience - Desirable  Working knowledge of SR 08-8Niveau d'expérience minimum3 - 5 ansCompétences recherchéesCompetencies Required  Curiosity and willingness to learn the financial services landscape and IGE methodology Analytical skills Organization Verbal & written communication skills Ability to work autonomously under deliverable timelines Team spirit Proficiency in Word, Excel and PowerPoint Fluent in English
Competencies Desirable  Relationship management Ability to work in multi-disciplinary and multicultural teams Basic FrenchOutils informatiquesSkills & Knowledge Requirements  Auditing techniques Understanding of the risks generated by banking / securities activities Skills & Knowledge Desirables  Understanding of financial services regulatory complianceLanguesEnglishEntreprise Crédit Agricole CIB
Rejoignez les équipes de Crédit Agricole CIB, la banque de financement et d'investissement du groupe Crédit Agricole, 10e groupe bancaire mondial en taille de bilan*.
Nous accompagnons les grandes entreprises et institutions financières dans leur développement et le financement de leurs projets. Pionniers dans la finance responsable, l'engagement social et environnemental sont au cœur de nos activités.
Intégrer nos équipes c'est contribuer au développement d'une économie durable.
Vous évoluerez dans un environnement multiculturel, à la fois dynamique et stimulant, dans lequel vous serez encouragé à innover et partager vos idées.
Nous sommes une entreprise qui accompagne ses collaborateurs tout au long de leur parcours. Vous pourrez y développer vos compétences et accéder aux larges opportunités de carrière qu'offrent la diversité de nos métiers et nos 30 implantations internationales.
Notre culture repose sur la force du collectif et l'esprit d'ouverture, où chacun est responsabilisé et valorisé.
En agissant chaque jour dans l'intérêt de la société, Crédit Agricole CIB s'inscrit dans les valeurs du groupe qui est engagé en faveur des diversités et de l'inclusion et qui place l'humain au cœur de toutes ses transformations. Tous nos postes sont ouverts aux personnes en situation de handicap.
Vous souhaitez prendre part à notre mission ? Rejoignez nos équipes !
- The Banker, Juillet 2025
See All 27 Regulatory Compliance Specialist Jobs in New York
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Find JobsRegulatory Compliance Specialist Jobs by City in New York
Where New York roles are concentrated, by current openings.
Regulatory Compliance Specialist Job Market in New York
A snapshot from current New York openings, updated as new roles post.
Who's Hiring
Top Industries Hiring
- Healthcare & Medical Services
- Technology & Software
What New York Employers Look For
The qualifications that appear most often in regulatory compliance specialist jobs across New York.
- Bachelor's degree in law, finance, business, or a related field required
- Familiarity with New York DFS regulations and federal agency requirements preferred
- Certified Compliance and Ethics Professional (CCEP) or equivalent certification valued
- Experience interpreting and applying state and federal regulatory frameworks in a professional setting
- Strong written communication skills for drafting policies, reports, and regulatory filings
- Proficiency with compliance management software and document control systems expected
Regulatory Compliance Specialist Jobs in New York: Frequently Asked Questions
How do you become a regulatory compliance specialist in New York?
Most regulatory compliance specialist roles in New York require a bachelor's degree in law, finance, business administration, or a closely related field. There is no single state-issued license for this role, but employers in heavily regulated sectors like financial services expect familiarity with New York Department of Financial Services requirements. Certifications such as the Certified Compliance and Ethics Professional credential strengthen candidacy, and many employers in New York's finance and pharma sectors treat them as a near-requirement for advancement.
How much do regulatory compliance specialists make in New York?
Regulatory compliance specialists 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 regulatory compliance specialists in New York?
Employers hiring regulatory compliance specialists in New York right now include icapital, VNS Health, and Crédit Agricole, based on current listings on Migrate Mate as of November 2026. New York's dense concentration of financial institutions, pharmaceutical companies, and utilities means compliance teams tend to be large and hire continuously, particularly in New York City and the Capital Region.
Which New York cities have the most regulatory compliance specialist jobs?
New York, Manhattan, and Depew have the most regulatory compliance specialist openings in New York. New York City leads by a wide margin given its concentration of Wall Street financial firms, global pharmaceutical headquarters, and major healthcare systems, while Albany draws compliance demand from state agency contractors and government-regulated utilities operating across the state.
Are there remote regulatory compliance specialist jobs in New York?
Yes, and more than most fields. About 75% of regulatory compliance specialist openings tied to New York are remote or hybrid as of November 2026, reflecting how much of the work involves policy review, documentation, and regulatory analysis that does not require an on-site presence. Roles focused on audit preparation, policy writing, and reporting tend to offer the most remote flexibility.
How can I get hired as a regulatory compliance specialist in New York with little or no experience?
The most realistic entry path is a junior compliance analyst or compliance associate role, which New York financial institutions and healthcare systems regularly open to candidates with a relevant bachelor's degree and no direct compliance experience. Large employers like New York-Presbyterian and major banks in Lower Manhattan run rotational or development programs that place new graduates in compliance functions alongside experienced teams. A CCEP candidate designation or coursework in regulatory affairs also helps candidates without prior titles compete effectively for these positions.
Where can I find and apply to regulatory compliance specialist jobs in New York?
You can find and apply to regulatory compliance specialist jobs in New York on Migrate Mate, which lists current New York openings across financial services, healthcare, pharmaceuticals, and other regulated industries. Find roles that fit your experience and location and apply directly.
See All 27 Regulatory Compliance Specialist Jobs in New York
Find roles in New York that match your experience and apply in just a few clicks.
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