Top Compliance Jobs

Leads the Financial Crimes Emerging Crime Team, overseeing investigators who identify and investigate emerging fraud, money laundering, sanctions, and other financial crime risks. Provides strategic direction for complex investigations, typology development, intelligence gathering, risk assessments, SAR effectiveness, governance, metrics, and program enhancements. Partners cross-functionally with Compliance, Fraud, Operations, Technology, Product, Risk, and business teams. Manages, coaches, and develops a high-performing team while presenting risk insights and recommendations to senior leadership.

Owns and builds SentiLink’s FCRA compliance program for its consumer reporting business. Responsibilities include dispute intake and reinvestigation, permissible-purpose controls, accuracy monitoring, consumer complaints, client diligence, regulatory inquiries, litigation support, and partnering with Engineering and Product to automate compliance workflows.

Supports the broker-dealer compliance program through FINRA registrations and filings, employee compliance and personal trading reviews, communications surveillance, marketing compliance, compliance system administration, branch examinations, policy testing, due diligence, and regulatory initiatives. The role provides guidance across the organization and helps enhance compliance policies and procedures in response to evolving business and regulatory requirements.

Leads second-line compliance and operational risk oversight for Kinexys and CIB Payments. Assesses risks associated with new products, technologies, vendors, client onboarding, blockchain, and digital assets. Develops risk frameworks, monitors regulatory changes, supports controls and process improvements, and collaborates with Compliance, Legal, Product, Audit, Finance, and other stakeholders to deliver compliant business outcomes.

Supports broker-dealer and investment-advisor compliance by reviewing annuity applications and 1035 exchanges, conducting representative surveillance, performing KYC and CDD checks, maintaining Written Supervisory Procedures, coordinating compliance reporting, and overseeing regulatory training. The analyst advises business partners on FINRA and SEC requirements, assists with compliance projects, and reports to the Chief Compliance Officer.

Provides second-line compliance oversight for Futures Commission Merchant activities, enhancing risk assessments, monitoring, governance, reporting, and regulatory frameworks. Advises business leaders on CFTC, NFA, CME, futures trading, clearing, reporting, segregation, and position-limit requirements. Monitors and remediates compliance issues, supports regulatory examinations, prepares senior-management reports, develops training, and partners with legal, audit, risk, regulators, and business stakeholders.

Provides second-line compliance risk oversight for the U.S. credit card business. Advises Customer Servicing and Strategy teams on regulations, products, processes, controls, monitoring, remediation, and compliance risk. Performs control assessments, UDAAP reviews, testing, issue evaluation, regulatory guidance, reporting, governance activities, and compliance program development. Maintains expertise in Regulation Z, Regulation B, FCRA, UDAAP, and the Compliance Risk Management Framework while partnering with business leaders and challenging compliance decisions.

Lead Capital One’s Regulatory Consumer Center of Excellence for fair and responsible banking compliance. Oversee programs covering multilingual governance, ECOA, Regulation B, UDAAP/UDAP, SCRA, MLA, credit bureau furnishing, FCRA disputes, and prescreen advertising. Build governance, controls, monitoring, escalation, work plans, and audit-ready frameworks; report results to senior leaders; partner across risk and business teams; and manage compliance subject matter experts. Drive regulatory guidance, process improvements, training, technology, analytics, and automation.

The Director of Futures Operations will oversee trading and clearing, manage futures and options trade flow, and enhance operational processes while collaborating with compliance and risk teams.

Supports BlackRock’s broker-dealer, regulatory engagement, and NFA compliance programs. Responsibilities include regulatory filings, licensing and registration administration, examination and inquiry coordination, complaint tracking, risk analysis, management reporting, policy maintenance, training, certifications, and regulatory guidance. The Associate also contributes to process-improvement initiatives using artificial intelligence, data analytics, and emerging technologies while maintaining governance and accuracy.

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.

Leads JPMorganChase’s global sanctions Block and Reject compliance organization, overseeing regulatory reporting, governance, controls, distributed teams, and operational performance. Drives transformation through process redesign, automation, standardization, KPI/KRI management, remediation, and scalable operating-model enhancements. Partners with Compliance, Risk, Audit, and Technology teams, supports regulatory examinations, and delivers executive-level reporting.

Lead AML/BSA, KYC/KYB, fraud, transaction monitoring, and sanctions compliance programs. Manage banking and financial institution relationships, oversee investigations and UAR/SAR processes, translate regulations into operational controls, coordinate audits and examinations, track regulatory developments, and deliver compliance training. Partner cross-functionally with Legal, Product, Engineering, and Operations to support responsible product growth and regulatory readiness.

Lead compliance for prime brokerage and equities: develop and enforce regulatory policies, monitor trading and brokerage activities, manage risk and controls, liaise with regulators, and lead a compliance team to ensure adherence to SEC/FINRA and internal standards.

Supports compliance governance, risk assessment, audit and exam activities, remediation tracking, dashboard governance, reporting, quality assurance, documentation, business continuity, and process improvement. The role partners with cross-functional stakeholders, facilitates governance meetings, communicates risk insights to leadership, and advocates for AI-enabled workflows using Google tools and related technologies.

Supports compliance governance, risk assessment, audit and exam readiness, remediation tracking, dashboard governance, reporting, quality assurance, documentation, and business continuity. The role coordinates cross-functional initiatives, communicates findings to leadership, improves processes, and advocates for AI-enabled workflows using Google tools and related technologies.

Performs independent, risk-based compliance reviews as a second-line-of-defense tester. Tests business adherence to regulatory requirements, controls, data, and automation; analyzes data; documents results; manages review schedules; supports assessments, audits, and regulatory exams; and communicates findings to compliance and business stakeholders. The role also helps improve testing approaches and validates high-risk areas using data analytics and technology-enabled solutions.

Provides second-line compliance oversight and advisory support for an equities sales and trading business. Responsibilities include monitoring risk-based compliance programs, overseeing CAT and other transaction reporting, maintaining controls and standards, assessing and remediating compliance issues, advising stakeholders on regulations, and presenting risk metrics to management and governance committees. The role partners with Audit, Legal, Risk, and regulators and requires expertise in equity products, trading environments, and regulatory reporting.

Provides second-line compliance oversight for Futures Commission Merchant activities, enhancing compliance programs, conducting risk assessments and monitoring, advising business leaders, challenging risk practices, escalating deficiencies, interpreting regulations, supporting regulatory examinations, preparing governance reports, overseeing futures trading and clearing risks, and developing compliance training.

Leads Mastercard’s global international tax strategy, U.S. international tax compliance, tax risk management, controversy support, M&A structuring, and digital asset taxation. Advises executive leadership and cross-functional teams on OECD Pillar Two, transfer pricing, emerging payment technologies, and multinational tax regulations. Oversees compliance governance, external advisors, tax technology optimization, and a high-performing international tax team.

Leads Mastercard’s global international tax strategy, U.S. tax compliance, tax risk management, controversy support, M&A tax structuring, and digital asset taxation. Advises executive and cross-functional stakeholders on OECD Pillar Two, transfer pricing, emerging payment technologies, and multinational tax regulations. Oversees external advisors, compliance governance, technology-enabled process improvements, and a high-performing international tax team.

Manage regulatory licensing, reporting, examination readiness, obligation inventories, control assessments, remediation tracking, and regulatory submissions for Mastercard’s payments and digital assets business. Coordinate with Legal, Compliance, Risk, Operations, Product, Finance, and business teams across U.S. and international jurisdictions. Prepare regulator communications, board and management reporting, compliance metrics, risk assessments, and evidence supporting examinations and licensing obligations.

Support the firm’s compliance program for retail forex operations by monitoring CFTC and NFA requirements, advising business partners, maintaining registrations and licensing, supporting regulatory examinations, reviewing communications, delivering training, supervising AML/KYC due diligence, monitoring suspicious activity, preparing SAR filings, and overseeing customer complaint handling.

Manages audit, regulatory examination, and due diligence requests from intake through resolution. Coordinates business partners, auditors, examiners, and regulators; tracks deadlines and remediation of findings; reviews responses for completeness; identifies and escalates risks; monitors regulatory changes; and contributes to compliance reporting and management responses.

Supports regulatory strategy and business management across Compliance, Conduct and Operational Risk. Responsibilities include strategic planning, budgeting, headcount and expense management, control oversight, audit and testing coordination, culture initiatives, governance meetings, exam operations, and regulator deliverables. The role manages regulatory engagement standards, crisis notifications, resolution planning, supervisory meetings, and information submissions while partnering with senior internal and regulatory stakeholders.