Top Compliance Jobs

Supports IT audit and SOX engagements by documenting processes, reviewing risk and control matrices, testing control design and effectiveness, analyzing data, preparing workpapers, identifying deficiencies, and tracking remediation. The role assists with walkthroughs, issue follow-up, compliance reviews, and internal control transformation while communicating findings and recommendations to clients.

Executes risk-based consumer compliance transaction testing, analyzes data, documents results, reviews peer testing, manages schedules, develops testing methods, and communicates findings. Partners with compliance advisors, risk managers, and business stakeholders to validate adherence to complaints-handling requirements and challenge business processes. The role requires critical thinking, attention to detail, strong communication, and the ability to navigate complex testing determinations.

Executes risk-based compliance transaction testing and control reviews to validate adherence to laws, regulations, and business requirements. The role analyzes data, documents testing results, reviews peer work, improves testing methods and data sources, manages schedules, and communicates findings to compliance and business stakeholders. It requires collaboration, independent judgment, attention to detail, and experience in compliance testing, monitoring, quality assurance, control review, or audit.

Provides independent compliance oversight and advisory support for the Credit Card business. Responsibilities include interpreting regulations, assessing compliance risks, advising on products and initiatives, monitoring regulatory changes, overseeing issue remediation, evaluating third-party risks, supporting audits and examinations, and presenting guidance to leadership. Requires at least four years of compliance experience, with consumer lending and credit card regulatory knowledge preferred.

Provides independent compliance oversight and advisory support for the Credit Card business. Responsibilities include interpreting consumer lending regulations, assessing compliance risks, advising on products and initiatives, monitoring regulatory changes, overseeing issue remediation, evaluating third-party risks, supporting audits and examinations, and presenting recommendations to leadership. The role partners with business, legal, risk, and control teams to maintain regulatory compliance and strengthen the enterprise compliance program.

Provides independent compliance oversight and advisory support for the Credit Card business. Responsibilities include interpreting consumer lending regulations, assessing compliance risks, advising on products and initiatives, monitoring regulatory changes, overseeing issue remediation, evaluating third-party compliance controls, and partnering with business, legal, risk, audit, and regulatory teams.

Provides independent compliance oversight and advisory support for the Credit Card business. Responsibilities include interpreting regulations, assessing compliance risks, advising on products and initiatives, monitoring regulatory developments, overseeing issue remediation, supporting regulatory change management, evaluating third-party compliance controls, and presenting recommendations to business partners and senior leadership.

Provides independent compliance oversight and advisory support for the Credit Card business. Responsibilities include interpreting consumer lending regulations, assessing compliance risks, advising on products and initiatives, monitoring regulatory developments, overseeing issue remediation, evaluating third-party controls, supporting audits and examinations, and presenting recommendations to leadership. The role requires collaboration with business, legal, risk, and control teams and involves a hybrid work schedule.

Provides independent compliance oversight and advisory support for the Credit Card business. Responsibilities include interpreting consumer lending regulations, assessing compliance risks, advising on products and initiatives, monitoring regulatory changes, overseeing remediation, managing regulatory change activities, evaluating third-party controls, and presenting recommendations to business leaders and stakeholders.

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.

Leads compliance risk and assurance initiatives, including risk framework development, risk assessments, large-scale compliance testing, corrective action validation, KRI monitoring, reporting, and data intelligence. Partners with compliance, legal, and business teams while using Claude and other AI tools to support analysis, testing, research, and documentation. Requires strong judgment, communication, organization, and adaptability in a regulated financial services environment.

Executes compliance investigations, monitoring, testing, and consumer complaint reviews. Analyzes data and documentation, validates adherence to enterprise standards and consumer compliance requirements, identifies potential legal or compliance exposure, reviews peer work, collaborates with business and compliance teams, and presents findings to executives and compliance officers.

Executes compliance and operational risk testing, evaluates control design and effectiveness, identifies gaps, and drives remediation. Partners with stakeholders across business lines, applies policies and regulatory requirements, improves testing methodologies, and coordinates complex initiatives within established timelines.

Leads and enhances BlackRock Institutional Trust Company’s compliance program, including OCC regulatory engagement, examinations, inquiries, remediation, governance, policies, testing, monitoring, and risk management. Advises senior stakeholders on regulatory requirements and emerging risks, drives strategic compliance initiatives, represents Compliance in governance forums, and manages and develops compliance professionals. Requires extensive financial-services compliance leadership and experience with bank regulatory frameworks, OCC-regulated entities, regulatory examinations, and complex remediation.

Lead the tax compliance function for Asset and Wealth Management, overseeing FATCA, CRS, Chapter 3, Chapter 4, and Chapter 61 reporting and withholding obligations. Manage reporting lifecycles, controls, documentation, issue resolution, and filings. Develop a high-performing team, manage capacity and priorities, and partner with technology and operations teams to automate workflows, improve data quality, and reduce compliance risk.

Prepare and review federal, state, and international corporate tax returns; support quarterly and annual tax provision processes under US GAAP; research tax issues; analyze financial data; coordinate with internal teams and external advisors; ensure timely compliance filings; and improve tax processes.

Performs second-line compliance quality assurance testing across onboarding, AML, monitoring, and termination risks. Identifies control gaps, supports remediation, develops reporting, delivers training, and enhances compliance oversight methodology. Partners with risk, legal, finance, sales, and other stakeholders to strengthen controls, execute governance initiatives, and provide practical regulatory guidance.

Leads compliance technology oversight for transaction monitoring, sanctions screening, customer risk scoring, and AI-driven case resolution models. Builds AI-powered automation, governance frameworks, human-in-the-loop controls, real-time monitoring dashboards, data-quality controls, and model performance processes. Partners with engineering, machine learning, policy, regulators, and independent monitors to ensure models and data pipelines are explainable, auditable, exam-ready, and aligned with AML requirements across fiat and virtual currency products.

Lead Adyen’s global Scheme Compliance Governance team, overseeing governance frameworks, audits, assessments, control mapping and testing, remediation, scheme communications, bulletins, RFIs, and committee and board reporting. Manage a globally distributed team and coordinate with scheme Risk and Compliance counterparts, Internal Audit, Internal Controls, and operational stakeholders. Ensure payment requirements translate into accountable ownership, effective controls, timely remediation, and transparent management oversight.

Lead the Code of Conduct Compliance program, with emphasis on outside interests and external relationships. Interpret policies, manage conflicts disclosures and preclearance, support controls and strategic initiatives, analyze program effectiveness, create senior-management reporting, draft policies and training, and oversee system entitlements and records. Partner with Compliance, Legal, Human Resources, Employee Relations, Risk, Security, and business stakeholders across the firm.

Provides compliance advisory support to Enterprise Services, focusing on consumer and data compliance. The role assesses and mitigates regulatory risks, conducts compliance risk assessments, validates monitoring processes, advises technology and data organizations, coordinates with Business, Risk, Legal, and Compliance teams, and represents Compliance on project teams. Responsibilities include regulatory analysis, senior-management reporting, process-breakdown reviews, stakeholder relationship management, and continuous improvement of the compliance management program.

Lead compliance and operational risk testing, executing accurate assessments aligned with high-risk priorities. Identify control coverage gaps, verify control design and implementation, interpret policies and standards, coordinate cross-functional stakeholders, and support remediation of control issues. The role also improves control evaluation methods, analyzes ratings and metrics, and may organize team activities while applying project management practices.

Leads futures and options-on-futures trade surveillance across North and Latin America. Reviews alerts, analyzes trading activity for market manipulation or impermissible behavior, escalates concerns, supports regulatory examinations, and partners with Compliance, Legal, business management, and technology teams. The role also defines surveillance requirements, performs analysis and user acceptance testing, and implements enhanced surveillance processes.

Evaluates IT processes, ITGCs, application controls, and ICOFR risks; conducts walkthroughs, reviews vendor SOC reports, maps CUECs, supports audits, and develops remediation plans. The role also assesses SOX impacts of new applications, designs controls, and uses AI tools to improve compliance documentation and risk identification. Candidates need a relevant bachelor’s degree, 2–3 years of experience, IT audit certifications or equivalent, ERP knowledge, and familiarity with COBIT/COSO, SEC, PCAOB, and US GAAP.

The Market Manager drives revenue and profits across branches, manages compliance, leads recruitment, and builds cohesive teams while ensuring superior client service.