Top Compliance Manager Jobs

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 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 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.

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.

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

Build and run the compliance program for DraftKings' prediction market product. Monitor controls, manage issues, support examinations and audits, translate regulatory requirements into processes and platform changes, develop policies and playbooks (AML/KYC, market surveillance, marketing compliance), and prepare compliance reporting and dashboards.

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.

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.

Lead transaction monitoring and risk-compliance analytics for the PULSE payments network. Build automated risk programs, partner with data engineering on risk data architecture, conduct root-cause analyses on transactions, and translate technical findings into actionable, regulatory-compliant recommendations for stakeholders and executives.

The FinCrime Product Compliance Senior Manager focuses on developing scalable processes for managing financial crime risks, collaborating with product teams, and ensuring compliance for Wise's Platform products in North America.

Lead and quality-assure AML compliance testing programs. Manage compliance testers, develop and validate test plans, oversee data sourcing, ensure timely accurate test execution, liaise with stakeholders, support audits/exams, and drive testing improvements.

Lead enterprise-wide compliance and financial-crime risk assessments, evaluate controls and residual risk, produce executive reports, partner with MLROs/CCOs globally, drive transaction monitoring and customer risk scoring coverage, update geographic risk ratings, develop threat assessment frameworks, and pioneer AI-powered automation while maintaining human oversight.

Lead second-line financial crime compliance oversight for AML and fraud controls across US and Canada. Advise stakeholders on BSA/AML/OFAC, challenge first-line controls, define MI/KRIs, support SAR committee, contribute to risk assessments, engage regulators and auditors, and drive remediation and control improvements.

Lead second-line AML and fraud oversight for North America, advising on BSA/OFAC/NYDFS compliance, supervising investigations, challenging first-line controls, defining MI/KRIs, supporting SAR committee work, engaging regulators, and driving risk assessments and remediation.

Lead preparation, review, and delivery of federal and state tax returns for a diverse client portfolio. Manage engagements from planning through completion, identify tax planning opportunities, ensure compliance, supervise and mentor staff, manage timelines and budgets, and collaborate with CAAS, Audit, and Advisory teams while serving as a primary client advisor.

Lead and manage federal and state tax compliance and advisory engagements for diverse clients. Review complex returns, identify tax planning opportunities, maintain client relationships, supervise and mentor staff, manage engagement budgets and timelines, and collaborate with CAAS, Audit, and Advisory teams to ensure accurate, timely delivery and compliance.

Manage and strengthen the RIA compliance program: design and maintain policies, ensure exam readiness, monitor portfolios and controls, perform risk assessments and testing, prepare governance reporting, handle regulatory reporting and ad-hoc projects, supervise and guide junior compliance staff, and partner with senior leaders and the Investments CCO.

The Financial Planning & Analysis Compliance Manager will lead budgeting, forecasting, and compliance efforts, support audits, and develop financial models and reports.

Lead uplift of risk and compliance frameworks and policies, identify and mitigate operational and regulatory risks, monitor controls, produce evidence packs, engage stakeholders across Line 1/2/3, and support BAU R&C activities for a regulated financial services environment.

The Audit Manager oversees audits, ensures compliance with standards, manages communication with stakeholders, and provides subject matter expertise.

The Tax Compliance Manager will oversee tax compliance, reporting, and planning, manage filings, coordinate with auditors, and maintain tax processes.

Lead second-line compliance oversight for U.S. Corporate Office programs. Provide regulatory advice, assess program design and controls, drive compliance risk management activities, manage escalations, partner with Legal/Finance/Audit/Technology, prepare executive reporting, and mentor team members to ensure regulatory requirements are identified, assessed, and remediated.

Lead compliance systems for mortgage originations, manage third-party integrations and testing, oversee regulatory disclosures and fee profiles, review new products, support examinations, remediate technical compliance issues, and supervise compliance analysts.

Lead Line 2 compliance advisory for an ADI, providing regulatory guidance, conducting thematic reviews, incident and breach assessments, monitoring, and remediation. Support regulatory engagement, reporting, policy implementation, training, and enhancement of the Compliance Management Framework across treasury, markets and wholesale banking.