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.

The Control Room Senior Associate maintains JPMorgan Chase’s information barriers and monitors information flows between private- and public-side businesses. Responsibilities include managing Watch and Restricted lists, reviewing research publications, chaperoning covered communications, advising front-office teams on restrictions and permissible interactions, interpreting Control Room policies, and delivering compliance training. The role partners with Banking, Sales and Trading, Asset Management, senior leaders, and global stakeholders.

Manage and execute the RIA and BD compliance program: registration and filings, surveillance, testing, advertising review, training, electronic communications monitoring, vendor due diligence, AI governance, exam readiness, and day-to-day program operations supporting SEC and FINRA requirements.

Oversee compliance training governance processes through an LMS, including monitoring controls, managing documentation and change control, validating data, analyzing learning outcomes, identifying risks, and recommending process improvements. Research issues, communicate findings, support internal customers, and collaborate on cross-functional initiatives. The role also maintains process quality, reports assessment results, and helps management understand implications and next steps.

Oversee financial crime compliance for North American onboarding and customer due diligence programs, focusing on AML and fraud investigations. Advise stakeholders on BSA, AML/CTF, OFAC, and related regulations; challenge and approve controls, products, and process changes; represent compliance to regulators and auditors; support SAR governance and risk assessments; monitor KRIs and management information; identify risks and coordinate mitigation plans.

Oversee AML and fraud controls for Wise’s North American onboarding and customer due diligence programs. Advise stakeholders on BSA, AML/CTF, OFAC, and regulatory requirements; challenge and approve control changes, products, and features; monitor financial crime metrics and risks; support SAR governance and risk assessments; conduct regulatory horizon scanning; and represent compliance oversight to regulators, auditors, and partners.

Support compliance monitoring, governance, and financial crime operations by reviewing transactions and sanctions alerts, preparing SARs and regulatory reports, performing KYC/onboarding and account lifecycle tasks, maintaining compliance documentation, and escalating suspicious activity while supporting process improvements.

Leads network compliance risk management for Capital One’s network and merchant businesses. Provides compliance advice and effective challenge, evaluates laws and regulations, identifies emerging payments risks, supports new products and business expansions, and strengthens the compliance program within the three-lines-of-defense framework. Partners with Business Risk, Legal, Audit, and senior leaders while serving as a subject matter expert for payments and network compliance.

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.

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.

Prepare quarterly and annual US federal and state income tax provisions and audited financial statements; gather and prepare workpapers for US tax returns; leverage technology (including AI) for process improvement; research tax issues and provide recommendations; and communicate with federal and state tax authorities on tax matters.

Conduct first-pass compliance reviews of affordable housing resident files across LIHTC, HUD Section 8, and USDA programs. Apply established rules to income, assets, deductions, certifications, and recertifications; verify automated outputs; document findings; escalate ambiguous cases; support testing and UAT; and meet accuracy, volume, and SLA targets.

Leads second-line compliance and risk management, providing regulatory guidance, effective challenge, compliance advice, and oversight of business practices. Partners with Legal, Audit, and Business Risk teams; supports audits and examinations; assesses regulatory impacts; ensures controls align with enterprise risk frameworks; and leads cross-functional initiatives while coaching and developing teams.

The Senior Compliance Analyst develops and administers compliance programs, manages compliance policies, conducts reviews, and oversees compliance training and inquiries in options trading.

Lead compliance for Wise's broker-dealer operations in North America, overseeing regulatory frameworks, policies, and product compliance while ensuring regulatory engagement and operational readiness.

Owner of trading operations and regulatory compliance between trading platforms and NFA/CFTC obligations. Monitor platforms, triage incidents, draft regulatory reports, manage capital charge oversight, payment rails, reconciliations, and operational runbooks. Support audits, margin compliance, MT4-to-MT5 migration, process improvements, and reporting to leadership.

Support the regulatory compliance team by maintaining policies, controls, and processes; advise business units on regulatory obligations; drive remediation of findings; support compliance monitoring, reporting to leadership and the Board, exam preparation, and training. Keep abreast of regulatory changes and strengthen compliance frameworks across the organization.

Lead compliance oversight for home lending, maintaining risk standards, monitoring remediation, advising front line and leadership on regulatory matters, interfacing with Audit/Legal/regulators, and driving process improvements across moderate-to-high risk mortgage compliance programs.

Lead oversight of home lending compliance programs, monitor regulatory risk, advise business units, manage remediation and regulatory engagements, report findings, and develop controls and process improvements to ensure adherence to federal, state, agency, legal, and corporate policy requirements.

Lead and oversee home lending compliance programs, monitor regulatory risk, advise business lines, manage remediation and regulatory engagements, report findings, and drive process improvements across mortgage and capital markets compliance.

Lead compliance oversight for home lending: establish and maintain risk standards, monitor remediation, advise business units, manage regulator/audit interactions, and provide independent compliance challenge across moderate-to-high risk matters.

Lead and continuously improve the companys SOX 404 program: design strategy, risk assessment, scoping, testing, and remediation. Partner with Finance, IT, Legal, and business owners to document controls, manage external audits, drive automation and ERP/GRC integrations, report to executives and Audit Committee, and establish policies, training, and a scalable SOX team.