Top Compliance Manager Jobs

Leads second-line compliance advisory and effective challenge for Capital One’s network and merchant businesses. Assesses laws, regulations, and emerging risks; develops network payments compliance expertise; supports new products, business expansions, and downstream entities; and collaborates with Business Risk, Legal, Audit, and senior leaders to strengthen the compliance and risk management framework.

Manage tax planning, compliance, and reporting across a multi-entity organization. Serve as primary tax authority, coordinate with external advisors, oversee partnership and indirect tax compliance, maintain filing calendar, handle information reporting (1099/1042), support international tax matters, liaise with government authorities, and improve tax processes and controls.

Owns quality assurance for cryptocurrency and sanctions compliance programs, including sampling, decision reviews, metrics, risk reporting, corrective actions, and continuous improvement. Partners with BSA/CFT and Sanctions program owners and leadership to ensure compliance standards align with regulatory requirements and product growth. Requires deep AML, KYC, sanctions, and fintech compliance expertise, strong analytical and communication skills, executive influence, and AI fluency.

Leads UFCU’s mortgage lending compliance and quality control program. Manages the compliance team, oversees HMDA, fair lending, ECOA, mortgage QC, advertising review, audits, examinations, remediation, regulatory change management, risk analysis, policies, procedures, training, reporting, and process improvements. Partners with Legal, Lending, Risk, Audit, regulators, and business leaders to maintain effective controls and support compliant organizational growth.

Manages regulatory compliance risk within Capital One’s Fair & Responsible Banking Compliance program. Provides subject-matter guidance to business lines, develops compliance tools and training, performs monitoring and risk assessments, evaluates metrics, supports remediation, and identifies emerging regulatory risks. Partners with legal, compliance, and cross-functional teams to strengthen controls, reporting, governance, and a culture of managed risk-taking.

Manages financial services regulatory compliance across consumer lending products, including advisory support, complaint and issue management, licensing, regulatory exams, and regulatory change monitoring. Partners with business units to identify compliance risks, develop mitigation strategies, remediate issues, maintain licenses, prepare reports, and promote a strong compliance culture.

Own quality assurance for cryptocurrency and sanctions compliance decisions, including sampling, monitoring, error-rate reporting, risk analysis, corrective actions, and continuous improvement. Partner with BSA/CFT and Sanctions program owners, report metrics and insights to leadership, ensure standards align with regulatory requirements and product growth, and maintain the broader compliance quality framework.

Lead compliance and operational risk testing strategies across business lines. Evaluate control environments, identify gaps, verify control effectiveness, drive remediation, manage complex testing initiatives, and communicate outcomes to senior stakeholders. The role also involves applying risk management expertise, ensuring regulatory alignment, and leading a diverse team within the Testing Center of Excellence.

Manage regulatory product compliance and risk for Wise’s US and Canadian products. Partner with product and engineering teams on compliance risk assessments and controls, support issue remediation, improve customer-facing processes, contribute to quarterly risk assessments and leadership reporting, and use data analytics to develop key risk indicators. Requires cross-border payments experience, regulatory expertise, and US work authorization.

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.

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

Leads lending compliance and quality control teams, oversees regulatory change management, monitoring, testing, audits, examinations, issue remediation, and policy development. Advises business leaders on mortgage or consumer lending requirements, evaluates compliance risk, reviews communications, and translates regulations into practical controls and processes. Manages stakeholders, regulatory inquiries, corrective actions, and continuous improvement of the credit union’s compliance management program.

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.

Oversee AML and fraud investigation compliance for Wise’s US and Canada operations. Advise teams on BSA, AML/CTF, OFAC, and related regulations; maintain the financial crime oversight framework; challenge controls and product changes; support SAR governance, risk assessments, regulatory engagement, horizon scanning, and risk mitigation. Monitor compliance metrics and escalate issues while partnering with operational, product, regulatory, audit, and senior stakeholders.

Leads 5–7 Field Supervision Managers, strengthening supervisory practices, regulatory compliance, risk management, disciplinary processes, enhanced supervision, financial monitoring, and review readiness. Partners with field, zone, and Home Office leaders to resolve complex supervisory matters, improve operational controls, monitor performance, and drive consistent execution across New York Life’s agency distribution system.

Leads personal independence compliance work, including regulatory interpretation, risk assessments, internal control reviews, monitoring, issue escalation, process improvement, reporting, and stakeholder communication. Manages project delivery, coaches team members, reviews compliance evidence, identifies conflicts and control gaps, and translates regulatory changes into operational actions.

Supports the global asset management compliance program through regulatory monitoring, testing, oversight, and advisory activities. Conducts compliance reviews, researches laws and regulations, develops policies and procedures with business partners, analyzes business practices and data, identifies compliance gaps, maintains records, and advises multiple business lines. The role requires strong financial services regulatory knowledge, communication and facilitation skills, and proficiency with Microsoft Office tools.

Leads Cboe’s Compliance Monitoring Program and Compliance Risk Assessment, including risk-based control testing, issue validation, regulatory obligation mapping, GRC platform enhancements, dashboards, reporting, and policy documentation. Partners with Compliance, Internal Audit, Enterprise Risk, Legal, and First Line teams to strengthen controls, manage compliance risks, support Three Lines governance, and drive program improvements. The role also supports training, change management, and cross-functional project execution.

Manages the full lifecycle of restricted grants, gifts, endowments, contracts, and other funding sources. Ensures expenditures comply with donor, sponsor, regulatory, and museum requirements; partners with Finance, Advancement, and program teams on budgets and proposals; prepares reconciliations, journal entries, audit schedules, and reporting; and strengthens financial controls, documentation, and stewardship processes.

Manages the Center of Excellence quality, risk, and compliance program under JLL’s global QMS and ISO 9001 standards. Maintains quality plans, documentation, risk registers, CAPA trackers, compliance records, and audit-readiness materials. Supports non-conformance investigations, root-cause analysis, vendor qualification, regulatory and contractual tracking, risk training, incident escalation, and reporting to regional and global stakeholders.

Supports compliance oversight for Fidelity Charitable’s donor-advised fund and pooled income fund programs. Negotiates, drafts, and manages grant agreements; partners with nonprofit recipients, donors, advisors, Legal, and internal teams; identifies regulatory and risk gaps; reports findings; and ensures agreements and operations align with organizational, federal, and state requirements. The role also provides compliance guidance and builds strategic stakeholder relationships.

Leads Fidelity’s eComm Surveillance team, overseeing electronic communications reviews, policy compliance, investigations, escalations, risk mitigation, monitoring controls, and systems enhancements. Manages and develops compliance associates, researches potential violations, communicates findings to leadership, and partners with technology and Digital Compliance teams on monitoring capabilities, reporting, and regulatory readiness.

Coordinates end-to-end launch execution for complex commercial offerings, establishing scope, governance, ownership, readiness criteria, controls, testing, risk mitigation, and go/no-go decisions. Partners with finance, engineering, operations, business planning, and customer readiness teams to translate deal mechanics into finance requirements, monitor launch health, ensure compliance, and drive remediation through deployment and hypercare.

Leads end-to-end sales and use tax compliance for multiple clients across jurisdictions. Responsibilities include managing return cycles, reviewing filings and reconciliations, overseeing registrations and deadlines, supporting nexus and taxability analyses, resolving compliance issues, improving workflows through technology and automation, and supervising and developing team members. The role also involves client relationship management, technical tax guidance, practice development, and quality control.

Leads the bank’s consumer compliance and CRA programs, including governance, risk assessments, monitoring, testing, training, fair lending, HMDA data integrity, regulatory examinations, corrective actions, and merger due diligence. Advises the board and senior management on compliance risks, regulatory changes, complaints, and policy requirements. Manages compliance personnel and coordinates with business, data management, regulatory agencies, community organizations, and risk committees.