Top Compliance Jobs

Leads second-line financial crime compliance oversight for Wise’s North American operations, focusing on AML and fraud investigations, customer due diligence, controls, regulatory compliance, SAR oversight, risk assessments, and KRIs. Advises stakeholders, challenges first-line controls, supports regulatory implementation, presents to regulators and auditors, and helps shape compliance strategy. The role is based in New York with three days of in-office work and requires U.S. work authorization without visa sponsorship.

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 embedded compliance guidance for Square product teams, leading product compliance reviews, risk assessments, control evaluations, testing, monitoring, issues management, audits, regulatory change management, and remediation. Partners with Product, Engineering, Design, Legal, Risk, and international teams to translate regulations into practical controls, maintain compliance inventories, manage examinations, and report compliance metrics.

Supports the Chief Compliance Officer in building and administering a federally chartered trust bank’s compliance management system and BSA/AML program. Responsibilities include AML controls, CDD/EDD, transaction monitoring, SAR workflows, OFAC sanctions, Travel Rule compliance, blockchain analytics, compliance testing, issue remediation, regulatory change management, Board reporting, and OCC examination readiness. The role focuses on digital asset custody and fiduciary services while maintaining an independent compliance function.

Develops and administers a firm-wide compliance program for an options market-making and proprietary trading broker-dealer. Responsibilities include maintaining policies, conducting risk assessments and compliance reviews, overseeing surveillance, managing employee disclosures and information barriers, supporting regulatory filings, maintaining FINRA CRD records, coordinating vendors, and delivering compliance training. The role requires strong knowledge of SEC, FINRA, and CBOE rules, options trading, project management, and securities licensing.

Supports the Chief Compliance Officer/BSA Officer in building and administering a federally supervised trust bank’s compliance management and BSA/AML programs. Responsibilities include AML controls, customer due diligence, transaction monitoring, OFAC sanctions, wallet screening, digital asset typologies, compliance testing, issue remediation, regulatory change management, OCC examination readiness, audits, and Board reporting.

Own compliance advisory for the Affirm Card program across marketing, onboarding, payments, disputes, servicing, and new product features. Apply consumer finance regulations, review disclosures and UX, lead root-cause analysis and remediation, maintain risk assessments and controls, support regulatory exams and audits, and develop compliance training. Partner closely with Product, Engineering, Operations, Legal, Risk, and senior leadership to make independent, risk-based decisions.

Administer the compliance testing program by conducting regulatory reviews, reporting findings, identifying control gaps, and coordinating remediation. Partner cross-functionally with Legal, Risk, Product, Engineering, Operations, and management. Support compliance risk assessments, control inventory, process improvements, and regulatory analysis for new or revised products and services.

Develops compliance analytics for AML, sanctions, and consumer compliance programs. Builds data pipelines, dashboards, scorecards, automated reporting, and data quality processes using dbt, GitLab, Python, SQL, Tableau, and Snowflake. Translates regulatory requirements into actionable insights, risk indicators, and metrics while communicating findings to senior management and regulatory stakeholders.

Performs Level 2 sanctions alert reviews for fiat and cryptocurrency transactions, makes case disposition decisions, conducts on-chain investigations, and provides sanctions guidance. Supports screening oversight, regulatory reporting, policy and procedure development, regulatory monitoring, risk-based projects, and team mentoring. Requires financial institution or government sanctions experience, OFAC and BSA/AML knowledge, blockchain analytics expertise, and strong communication skills.

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.

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, conduct, and operational risk oversight for CIB Payments products. Responsibilities include assessing new products and initiatives, monitoring regulatory changes, strengthening controls, supporting audits and regulatory exams, managing remediation, and collaborating with business, legal, finance, audit, and control teams. Uses AI/ML, analytics, Tableau, Alteryx, and workflow automation to improve risk insights and decision-making.

Leads compliance and operational risk testing strategies across business lines. Oversees control assessments, identifies gaps, verifies effectiveness, drives remediation, manages complex testing initiatives, and communicates outcomes to senior stakeholders and regulators. The role also manages a diverse team and ensures alignment with firm policies and regulatory requirements.

Advises sales, trading, treasury derivatives, and operations teams on CFTC, NFA, and futures exchange requirements. Supports the Swap Dealer Compliance program through risk assessments, root cause analysis, control reviews, policy maintenance, reporting, compliance testing, surveillance coordination, training, audits, regulatory inquiries, and remediation of control gaps. Partners with legal, business leaders, regulators, and industry groups to interpret and implement new requirements.

Leads credit risk governance for Wealth Management by developing policies, controls, procedures, metrics, and risk frameworks. Oversees documentation, regulatory and risk change initiatives, cross-functional coordination, audits, examinations, and communications with senior management. Partners with Risk, Credit, Compliance, Legal, Operations, and Front Office teams to support business growth while maintaining effective controls and regulatory compliance.

Own and enhance the AML program for digital asset clients, including KYC, KYB, KYT, enhanced due diligence, transaction monitoring, investigations, and SAR filing determinations. Lead Chainalysis implementation, configuration, alert-rule development, and risk calibration. Manage case workflows, identify blockchain transaction typologies, coordinate with legal and technology teams, and respond to regulators and law enforcement across global jurisdictions.

Own Motive’s global financial products compliance program across AML/BSA, sanctions, KYC/KYB, PEP screening, transaction monitoring, lending compliance, audits, and regulatory relationships. Develop policies and controls, ensure operational effectiveness, manage bank and card network partners, monitor regulatory changes, support compliant product launches, and establish governance across multiple jurisdictions including the US, Canada, and UK/EU. Build the compliance function and advise leadership on compliance risk.

Leads quarterly and annual income tax provision processes under ASC 740, SEC tax reporting, and U.S. federal and state tax compliance. Reviews tax calculations, disclosures, reserves, book-to-tax adjustments, and filings; supports audits, examinations, planning, transactions, SOX controls, and process improvements. Partners with accounting, legal, treasury, auditors, and external tax providers while managing compliance workstreams and developing tax technology capabilities.

Provides regulatory compliance consulting to financial services clients, including risk assessments, remediation, monitoring, regulatory research, compliance testing, audit documentation, and management reporting. Advises clients on strengthening compliance management systems, identifies regulatory gaps, presents findings to boards and executives, and supports compliance change management and education. Requires banking compliance experience, lending knowledge, strong analytical and communication skills, and approximately 20% travel to U.S. client locations.

Provides regulatory compliance consulting to financial services clients, including risk assessments, remediation, monitoring, regulatory research, compliance testing, audit documentation, and management reporting. Advises clients on strengthening compliance management systems, identifies regulatory gaps, presents findings to executives and boards, and supports federal consumer compliance requirements. Requires banking compliance experience, lending knowledge, strong analytical and communication skills, and approximately 20% domestic travel.

Provides regulatory compliance consulting to financial services clients, including risk assessments, remediation, monitoring, regulatory research, compliance testing, change management, education, and board reporting. The role develops compliance management systems, identifies regulatory gaps, conducts and documents audits, and presents findings to executives and committees. Requires banking compliance experience, lending knowledge, strong analytical and communication skills, and approximately 20% travel to U.S. client locations.

Provides regulatory compliance consulting to financial services clients, including risk assessments, remediation, monitoring, regulatory research, compliance management system development, board and management reporting, regulatory gap analysis, and consumer compliance testing. The role also conducts and documents compliance audits, advises on lending-related requirements, presents findings to executives and committees, and travels approximately 20% to U.S. client locations.

Provides regulatory compliance consulting to financial services clients, including risk assessments, remediation, monitoring, regulatory research, compliance management system development, audit and supervisory reporting, regulatory testing, and board presentations. Requires banking compliance experience, lending knowledge, strong analytical and communication skills, and the ability to conduct and document compliance audits. The role requires approximately 20% travel to U.S. client locations.

Provides regulatory compliance consulting to financial services clients, including risk assessments, remediation, monitoring, regulatory research, compliance testing, audit documentation, and management reporting. Advises clients on strengthening compliance management systems, identifies regulatory gaps, presents findings to boards and executives, and supports federal consumer compliance requirements. Requires banking compliance experience, lending knowledge, strong analytical and communication skills, and approximately 20% domestic travel.