Top Compliance Jobs

The International Tax Director will oversee international tax compliance, transfer pricing, and strategic planning, managing a team and collaborating with various departments and external advisors.

Lead and scale a unified global Audit, Risk, and Compliance function. Own SOX/ICFR readiness, risk-based internal audit, regulatory compliance (including OFAC, KYC/KYB), and tech-forward automation of controls and monitoring. Advise the C-suite and Audit Committee, recruit and develop a multidisciplinary team, and partner cross-functionally to embed durable compliance and remediation into business workflows.

Lead design and optimization of SOX internal controls for IT and business processes. Evaluate ICoFR, conduct walkthroughs, define remediation, translate SOC reports into user controls, assess SOX impact of projects, and evaluate AI-related risks while partnering with audit and cross-functional teams.

Manage SOX compliance for IT and business processes by designing, evaluating, and optimizing ICoFR and internal control frameworks. Conduct walkthroughs, define remediation, analyze deficiencies, translate SOC reports into user-entity controls, assess SOX impact of projects, collaborate with auditors, and evaluate AI-related risks and controls to mitigate financial statement risk and drive process improvement.

Lead second-line compliance risk management by advising on regulatory requirements, challenging business practices, supporting audits/exams, developing compliance programs, and coaching teams to implement controls and transform risk management.

Lead a team providing independent oversight of the firm's global Communications Surveillance Program. Assess design, implementation, and effectiveness of surveillance governance, analytics, escalation, data quality, and issue remediation. Provide subject-matter expertise on regulatory expectations, engage stakeholders across front line, Legal, Technology, and senior leadership, drive continuous improvement, manage complex compliance issues, and coach direct reports.

Lead oversight of front-line trade surveillance programs, focusing on FX and rates market abuse. Provide independent challenge, develop standards, monitor remediation, test surveillance modules, present to senior management, advise on regulatory compliance across business lines, and work with surveillance platforms and trade data to resolve moderate-to-high risk compliance matters.

Lead development and execution of AML policies, risk assessments, and investigations across equities, options, futures, crypto and event contracts. Oversee AML monitoring, trade surveillance, KYT, SARs and 314(a)/(b) reporting, regulatory examinations, CDD/EDD efforts, and cross-functional engagement with legal, operations, data, and engineering teams.

Validate and analyze LOS data for HMDA reporting, perform root cause analysis, design risk controls, gather business requirements, and develop test scenarios while partnering with business and IT to support automation and prevent recurrence.

Lead and participate in audit activities for Consumer and Community Banking compliance and controls: plan and execute tests, evaluate risks and controls, dimension issues, draft reports, and communicate findings to senior management while partnering with stakeholders and global audit teams to provide independent opinions on the control environment.

Perform principal-level reviews of new business and in-force securities, mutual fund, annuity, and life transactions; conduct surveillance, escalate and investigate exceptions; maintain supervisory procedures; train staff; support regulatory exams and control improvements using surveillance tools and workflow automation.

Senior AML compliance officer supporting the Enterprise AML Compliance Officer across program strategy, sanctions compliance, transaction monitoring, escalation review, training, policy/risk assessments, regulatory readiness, and VAFA. Leads case oversight, sanctions investigations, alert program tuning, AML training design/delivery, metrics/reporting, and cross‑functional coordination to strengthen a risk‑based enterprise AML program.

Lead international tax advisory and compliance for financial services clients, managing projects, supervising teams, and delivering tax-efficient global structuring solutions. Analyze complex cross-border tax issues, uphold professional standards, drive automation initiatives, mentor staff, and cultivate client relationships to identify service enhancements and manage multiple engagements.

Provide expert consultation on complex financial services compliance and supervision matters. Analyze issues, support solution design, drive consistent execution across field offices, deliver targeted training, and contribute to policy and process improvements. Partner with compliance, supervision, and business stakeholders to support annual compliance initiatives and transaction reviews.

Develop, document, and maintain policies, procedures, and processes to ensure FAR/DFARS compliance across government contracting business systems. Support DCAA/DCMA audits, perform gap analyses, track remediation, and partner with Finance, Contracts, Supply Chain, and Program teams to maintain internal controls and audit readiness.

Support government contracting cost accounting compliance by ensuring FAR/DFARS/CAS adherence, preparing incurred cost submissions, provisional and forward pricing rate proposals, assisting with DCAA/DCMA audits, reviewing contracts for pricing compliance, maintaining internal controls, and collaborating with cross-functional teams to identify and remediate compliance risks.

Review and determine suitability for annuity, life insurance, and mutual fund transactions as a Registered Principal. Investigate escalated cases, guide agents, monitor trends and compliance risks, and lead process improvements to enhance controls, reporting, training, and operational effectiveness.

Lead and enhance Circle's IT SOX compliance program by evaluating ITGCs, automated and IT-dependent controls, documenting SOX-ready materials, coordinating testing and remediations, liaising with IT, Security, Finance and auditors, and driving control design for system implementations and new product launches.

Serve as a second-line Compliance partner for the New-to-Credit card business, advising on product development, controls, monitoring, remediation, and regulatory requirements. Perform control assessments, validations (including UDAAP), review audit and exam issues, support third-party compliance testing, analyze compliance data, and participate in governance and reporting to ensure scalable, compliant business growth.

The Senior Corporate Auditor supports the corporate audit program by conducting audits, preparing reports, and ensuring compliance with internal controls. Responsibilities include planning audits, providing consultative guidance, and monitoring the implementation of audit recommendations. Travel to various locations for audit projects is required.

The Senior Manager, Risk will provide strategic risk advisory services, enhance risk management practices, and support the implementation of the Risk Management Framework across Mercer Super.

Provide compliance and supervision consultation to field leadership and representatives, perform on-site inspections and reviews per FINRA, conduct interviews and file reviews, document findings, train and educate staff, support remediation and risk management plans, and act as subject-matter expert on divisional and enterprise compliance projects.

Lead FreeWheel's global financial operations and compliance, owning billing, collections, credit risk, transfer pricing, international tax/statutory audit responses, cash movement, SOX/internal controls and governance. Build scalable processes, drive operational excellence, manage a global finance team, and ensure regulatory and company compliance to support global growth.

Manage Wise's US and Canada Regulatory Compliance, develop product compliance controls, execute risk assessments, and communicate results. Requires strong regulatory knowledge in payments.

The Director of AML/BSA Compliance oversees compliance programs, leads a team, manages regulatory requirements, and develops training for compliance strategies in a consumer fintech environment.