Compliance

• Contribute to the management of US regulatory activities associated with advertising and promotion of the company’s marketed products
• Manages commercial activities from a regulatory advertising and promotion perspective with guidance from the Regulatory Affairs, Advertising & Promotion Director
• Contribute to advise on the development of product messages and materials across multiple functional areas
• Assist with providing timely regulatory advice and guidance, with guidance from Regulatory Affairs, Advertising & Promotion Director, to Commercial teams and Medical Affairs with respect to conference exhibit activities, disease awareness and speaker programs
• Assist with providing review of US and Global (if applicable) product and disease state materials/communications, with guidance from Regulatory Affairs, Advertising & Promotion Director, to support corporate goals and comply with applicable laws, regulations, and guidance
• Ability to collaborate cross functionally with key stakeholders in areas such as Marketing, Medical Affairs, and Legal
• Contributes to the working relationship and managing communication with regulatory advertising and promotion professionals at co-promote partner companies
• Assist with interactions with the FDA Office of Prescription drug Promotion (OPDP) for assigned company products, assist with helping to maintain working relationship and effective communication with FDA OPDP reviewers with respect to advertising and promotion matters, including request for advisory submissions
• Responsible for compliance with promotional material submissions to FDA on Form 2253
• Monitor the external environment to advise product teams on evolving regulatory requirements related to product and disease state communications
• Maintain vigilance with respect to FDA promotional enforcement activities; provide stakeholders with updates on a regular basis; help assess the potential impact of enforcement activities on the company policies
• Knowledge of process improvement for promotional review activities that would enable the establishment of portfolio wide standardization of policies
• Knowledge of products/indications to help provide continuous Regulatory A&P support is provided to stakeholders
• Collaboration with Regulatory Therapeutic Area Leads to review key marketing application summary documents and study reports
• Knowledge of the input provided during review cycles to reflect commercialization objectives and messages in the submission documents/reports that are submitted to health authorities
• Ability to understand and work with management during labeling development and negotiation to reflect commercialization objectives and messages that impact promotion and advertising

Associate Manager, Regulatory Advertising & Promotion

• Coordinating the preparation, submission, management and maintenance of global regulatory submissions related to clinical and nonclinical aspects of product development in oncology therapeutic area, including, but not limited to, the following: INDs/CTAs, amendments and information requests, Orphan drug applications, Annual Reports and Investigator’s Brochure
• Assisting in coordination and preparation for Agency meetings and associated briefing document preparation
• Managing and tracking queries and commitments with regulatory agencies, collaborates with subject matter experts to provide written responses to queries, provides periodic status updates regarding conditions/commitments
• Providing representation for study-level regulatory activities and participate in cross-functional departmental team projects and product development activities/meetings
• Performing research to support the development of regulatory strategy for the assigned clinical development program
• Maintaining knowledge of regulatory requirements up to current date, comments on draft regulatory guidance, and communicates changes in regulatory information as needed
• Exercising discretion and independent judgment in the performance of the duties described above

Associate Manager, Regulatory Affairs Strategy – Oncology

• Execute risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches
• Detail documentation of testing in branch exam system and related work papers
• Ensure prescribed sample methodologies are used
• Use professional judgement for risk area identification
• Communicate exam findings to branch management and compliance leadership
• Provide reporting of exam findings and follow up in a timely manner
• Ensure risks and adverse trends are identified and escalated
• Maintain regular interaction with Compliance and Supervision partners
• Complete special and ad hoc reviews and projects as identified
• Provide guidance and mentoring to less-experienced members

Senior Advisor, Compliance PCG Branch Exams

• Coordinate the preparation, submission, management and maintenance of global regulatory submissions
• Assist in coordination and preparation for Agency meetings and associated briefing document preparation
• Leads and tracks queries and commitments with regulatory agencies
• Collaborates with subject matter experts to provide written responses to queries
• Provides periodic status updates regarding conditions/commitments
• Provides representation for study-level regulatory activities
• Participates in cross-functional departmental team projects and product development activities/meetings

Manager, Regulatory Affairs Strategy – Oncology

• Translate regulatory requirements (AML, KYC, BSA, FinCEN, OFAC, and others) into clear technical specifications.
• Partner with product and engineering to design, build, and maintain compliance-related systems and controls.
• Review technical implementations for regulatory gaps, and own remediation efforts when gaps are identified.
• Develop and maintain compliance analytics, data quality controls, data reconciliation processes.
• Serve as the technical subject-matter expert during regulatory exams, audits, and third-party assessments.
• Stay current on evolving regulatory requirements in the US and key international markets.
• Write and maintain technical compliance documentation, runbooks, and policies.
• Support SARs, CTRs, and other regulatory reporting workflows from a systems and data integrity standpoint.

Compliance Engineer

• Review and disposition transaction monitoring alerts and KYC/KYB onboarding applications
• Conduct enhanced due diligence on High Risk applicants
• Make well-reasoned SAR recommendations
• Draft SAR narratives that meet FinCEN quality standards
• Send RFIs to customers or partners
• Support periodic KYC refresh reviews on existing customers
• Contribute to onboarding and investigation policy development
• Stay current on FinCEN advisories, FATF typologies, and emerging financial crime trends

Compliance Associate

• Review and disposition transaction monitoring alerts and KYC/KYB onboarding applications end to end - including customer profile review, document verification, beneficial ownership analysis, sanctions and PEP screening, adverse media assessment, and transactional activity analysis
• Conduct enhanced due diligence on High Risk applicants - including source of funds and source of wealth assessment, business model review, and full beneficial ownership chain documentation
• Make well-reasoned SAR recommendations - clearly articulating why activity is or is not suspicious and documenting your analysis in a manner that is complete and defensible to a regulator
• Draft SAR narratives that meet FinCEN quality standards
• Send RFIs to customers or partners where additional information is needed to resolve an alert or application and follow through to receipt and documentation of the response
• Support periodic KYC refresh reviews on existing customers as part of the Company's ongoing due diligence program
• Contribute to onboarding and investigation policy development - if you see a gap, flag it and propose a solution
• Stay current on FinCEN advisories, FATF typologies, and emerging financial crime trends relevant to Rain's product set - including stablecoin, virtual asset, and agentic payment typologies

Compliance Analyst

• Serve as the primary escalation point for complex sanctions alerts and potential sanctions matches.
• Conduct enhanced reviews of higher-risk transactions, customers, counterparties, and financial institutions.
• Review investigations involving:
• - Specially Designated Nationals (SDNs)
• - Blocked persons
• - Comprehensive sanctions programs
• - Sectoral sanctions
• - High-risk jurisdictions
• - Sanctioned vessels and maritime activity
• Escalate potential true matches, blocked property matters, or OFAC-reportable matters to the Sanctions Manager.
• Assist with sanctions-related investigations and regulatory reporting requirements.
• Identify and escalate indicators of sanctions evasion and circumvention, including:
• - Payment message stripping or alteration
• - Nested correspondent banking arrangements
• - Use of shell companies
• - Front companies
• - Complex ownership structures
• - Third-country routing strategies
• - Unusual payment narratives
• - High-risk geographic exposure
• Review emerging sanctions typologies and communicate trends to management and team members.
• Recommend enhancements to controls designed to detect sanctions evasion risks.
• Ensure compliance with:
• - OFAC regulations
• - U.S. economic sanctions programs
• - Bank Secrecy Act (BSA) requirements, where applicable
• - Internal sanctions policies and procedures
• Maintain awareness of sanctions developments and regulatory changes.
• Assist management in implementing new sanctions requirements and program enhancements.
• Support internal and external audits, regulatory examinations, compliance testing, and issue remediation activities.

Assistant Compliance Manager

• Review sanctions screening alerts generated from cross-border wire transfers
• Analyze payment details, parties involved, geographic risk factors, and transaction narratives to determine whether an alert represents a false positive match or a potential sanctions concern requiring escalation.
• Conduct detailed name matching and sanctions-related research using internal and external sources.
• Clear non-relevant alerts in accordance with the Bank's sanctions policies and documented procedures.
• Ensure all alert dispositions are appropriately documented and supported by sufficient rationale and evidence.
• Escalate potential sanctions hits and true matches to the Sanctions Manager or designated investigations team.
• Conduct preliminary investigations involving originators, beneficiaries, financial institutions, vessel information, geographic references, transaction narratives.
• Gather and analyze supporting documentation and intelligence to assist in regulatory decision-making.
• Prepare clear and concise investigation summaries and recommendations.
• Review payment activity flowing through correspondent and intermediary banking relationships.
• Identify unusual payment patterns that may indicate sanctions evasion, use of shell companies, third-country routing, obfuscation of sanctioned parties, payment stripping or message manipulation.

Compliance Officer

• Identifying and evaluating mitigation and restoration opportunities
• Conducting field investigations, wetland delineations, and monitoring
• Developing mitigation, restoration, and management plans
• Managing mitigation sites, conservation easements, and restoration projects
• Coordinating with clients, agencies, consultants, landowners, and DU staff
• Preparing reports, agreements, funding requests, and project documentation
• Supporting business development, credit sales, outreach, and stakeholder engagement
• Performing GIS analysis and map production
• Assisting with project implementation
• Conducting data management, technical analysis, and public presentations

Biologist – Environmental Compliance Mitigation

• Develop and lead Casepoint’s enterprise Governance & Compliance strategy, ensuring scalable governance practices that support business growth and customer trust.
• Own enterprise privacy, compliance, AI governance, information governance, and corporate policy programs.
• Establish governance frameworks for emerging technologies, including responsible AI, data governance, and regulatory compliance.
• Partner with Executive Leadership to proactively identify, assess, and manage regulatory, contractual, operational, and technology-related risks.
• Provide executive oversight of the contracts function by partnering with the Director of Government Contracts on strategy, governance, risk management, and operational priorities.
• Collaborate with Sales, Product, Finance, Security, Legal, Engineering, and Customer Success to enable growth while balancing business objectives with appropriate governance.
• Develop executive reporting, governance metrics, and compliance dashboards to support informed decision-making.
• Drive continuous improvement through scalable processes, automation, and technology-enabled governance solutions.
• Monitor evolving regulatory requirements and industry best practices, recommending proactive enhancements to governance programs.

VP, Governance and Compliance

• Serve as a subject-matter expert and consultative resource to University and Global Enrollment Management and Student Success (GEMSS) leaders on federal and state regulations
• Interpret policy, review practices and recommend changes in business practices to ensure compliance
• Lead compliance for the Family Education Rights to Privacy Act (FERPA) in collaboration with Registrar
• Conduct compliance reviews and audits
• Serve in a consultative capacity for compliance administrators across the University
• Maintain a dotted-line reporting relationship with the Chief Global Compliance Officer
• Represent NYU at professional associations

Director, Global Enrollment Management – Student Success Compliance

• Supervise, coach, and develop junior compliance team members supporting product compliance, complaint management, testing, governance, and related CMS activities.
• Act as a primary compliance contact and liaison among Gemini department heads, senior management, and partner-bank stakeholders.
• Drive the development, execution, and validation of remediation and testing plans for compliance issues, audit findings, examination findings, and control gaps, including root-cause analysis, corrective action plans, process updates, documentation, and training.
• Review and advise on marketing materials, customer communications, disclosures, promotions, and related campaigns to assess compliance with applicable laws, regulations, partner-bank requirements, and internal policies.
• Lead the design and implementation of compliance risk assessment frameworks that provide independent, risk-based evaluations of regulatory compliance risks and control effectiveness.
• Provide timely, practical, and risk-based compliance guidance to product, operations, and business teams on applicable laws, regulations, policies, and controls.
• Partner with Legal, Compliance, product, and business stakeholders to assess emerging regulations, product developments, and business objectives, ensuring coordinated and transparent support across departments.
• Draft and coordinate responses to customer and regulatory complaints, including complaints received through the CFPB, FDIC, partner banks, or other applicable channels.
• Lead or support responses to audits, partner-bank reviews, regulatory examinations, reporting requirements, and compliance assessments.
• Monitor operational processes and procedures to assess compliance with applicable laws, regulations, partner-bank requirements, and Gemini’s CMS policies.
• Maintain current knowledge of applicable laws, regulations, and regulatory guidance, and assess the compliance impact of changes to product and service offerings.

Manager, Compliance – Banking & Lending

• Conduct investigations of customer activity to determine whether such activity warrants reporting in accordance with relevant AML regulation and guidance.
• Draft and prepare Suspicious Activity Reports (SARs).
• Perform blockchain analysis utilizing blockchain analytics to review customer activity, including direct and indirect exposure.
• Analyze customer data including, but not limited to, IP addresses, device information and signals, open source intelligence (OSINT), transaction histories, customer identification and source of wealth documentation.
• Conduct customer outreach to gather additional information regarding customer activity.
• Balance numerous projects, queues and priorities in a fast-paced environment.

Analyst, Compliance – Investigations

• Monitor, interpret, and analyze, all state and federal regulatory and legislative introductions or amendments for impact to the company and our divisional partners.
• Provide strategic insight, direction, education, and clear communication to divisional partners to ensure comprehension of all regulatory and legislative introductions or amendments.
• Collaborate with divisional partners to timely incorporate all state and federal regulatory and legislative introductions or amendments into company processes to ensure compliance.
• Collaborate with divisional partners that focus on gaining actionable insights, inviting perspectives, and contributions.
• Acting as a liaison for NYCM Insurance by working and collaborating with other industry trade associations (i.e., Barrett Associates, National Association of Mutual Insurance Companies (NAMIC) and New York State Department of Financial Services (NYSDFS)).
• Review external public relations material to ensure there is no reputational, financial, legal, or regulatory risk to the company.
• Conduct and/or participate in meetings as required to facilitate communication.
• Consistently share relevant knowledge within team setting.
• Conduct regulatory and legislative research as requested or required.
• Oversight of all consumers related complaints filed direct to the company or through the NYSDFS, Better Business Bureau (BBB) or legislative leaders, to investigation, resolution, and a timely response.
• Embrace a learning environment through continuing education, collaboration, and discussions with divisional partners.
• Other duties as assigned.

Regulatory Government Affairs Specialist

• Own and maintain all organizational statutory compliance requirements
• Continuously monitor the organization’s operational risk and compliance environment across functions and entities
• Monitor corporate compliance across multiple legal entities, including domestic and international structures
• Support organizational governance processes related to risk and compliance

Compliance & Risk Lead

• Provide compliance oversight for Retail Branch, Contact Center, and Marketing distribution channels
• Complete change risk assessments and related questionnaires for new business initiatives
• Serve as compliance advisor to business partners through meetings and process reviews
• Manage and track compliance-related issues, ensuring regulatory alignment
• Lead regulatory change management efforts for new and updated state laws
• Monitor regulatory complaints, business reports, and key risk indicators
• Collaborate with cross-functional teams to strengthen the compliance framework

Compliance Business Oversight Manager – Consumer Banking

• communicate effective compliance programs to identify and prevent illegal, unethical, or improper business practices
• coach and mentor junior staff and raise issues to senior team members
• support key business initiatives by analyzing and drawing conclusions from data
• provide resolutions to manage and mitigate compliance risks
• identify compliance impact on marketing materials, sales programs, and product development
• review compliance reports to identify deeper issues and common themes
• implement new/enhanced reports to ensure compliance with regulatory requirements

Compliance Program Advisor

• Assign accurate HTS classifications using GRIs, section/chapter notes, explanatory notes, administrative rulings, and CBP guidance
• Validate PGA implications (FDA, EPA, CPSC, etc.) and admissibility requirements.
• Screen for AD/CVD exposure using ACE and Federal Register sources.
• Conduct structured research on tariff updates, regulatory changes, trade actions, and PGA requirements.
• Review product information (materials, construction, function, specifications) to ensure necessary details are available for accurate classification.

Trade Compliance Specialist

• Own compliance for all remote care programs (RPM, CCM, PCM, CoCM, BHI).
• Lead the end-to-end payor audit lifecycle.
• Own formal payor compliance intakes and medical device assessments.
• Continuously mature the corporate compliance program against the OIG seven-element standard.
• Act as the compliance voice in enterprise sales and client diligence.
• Deliver decision-ready compliance analysis to the executive team.
• Partner closely with the CISO on HIPAA privacy postures.

Compliance jobs in New York

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