Top Compliance Manager Jobs

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.

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.

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.

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.

Oversee U.S. state and local income tax compliance, filings, forecasting, tax accounting, planning, audit defense, and compliance processes. Coordinate with external providers, review tax calculations and workpapers, monitor legislative developments, provide tax guidance to management, and improve compliance procedures. The role requires strong state tax expertise, ASC 740 and U.S. GAAP knowledge, communication skills, and experience in a large public accounting firm or multinational corporation.

The Compliance Manager provides second-line compliance oversight and risk management support for insurance and financial services businesses. Responsibilities include advising business leaders, assessing regulatory and emerging risks, conducting risk-based testing and monitoring, evaluating controls, escalating deficiencies, driving remediation, and partnering with Legal, Internal Audit, and operational risk teams. The role requires strong knowledge of insurance regulations, independent judgment, communication skills, and the ability to influence stakeholders in a hybrid environment.

Leads enterprise compliance testing across a financial institution, managing multi-tiered teams, testing methodologies, calendars, data scripts, reporting, and audit responses. Partners with compliance, data, technology, and business teams to improve testing through innovation, communicate significant findings to senior leadership, and ensure timely, accurate execution. The role requires substantial financial services compliance, risk, audit, people leadership, regulatory, and analytical experience.

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.

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.

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.

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.

Leads financial reporting risk management, SOX compliance, internal control design, audit coordination, remediation, governance, and compliance training. Advises finance and business teams on risks related to process changes, system implementations, automation, acquisitions, and emerging technologies. Partners with process owners, auditors, and senior leadership to strengthen, standardize, and automate the control environment.

Leads Americas compliance activities, independently handling complex client inquiries, developing practical solutions, identifying risks and workflow gaps, and strengthening policies and processes. Builds trusted client and stakeholder relationships while leading regional projects and contributing to global initiatives and group-level OKRs. Requires strong judgment, communication, analytical, organizational, confidentiality, and independent-working skills.

Manages internal audit and compliance activities, including financial, operational, IT, SOX, and regulatory audits. Develops risk-based audit plans, evaluates controls, identifies risks, drafts reports, tracks remediation, coordinates with external auditors, and manages co-sourcing partners. Helps build Caturus’s new Internal Audit and Compliance function, advises management on governance and controls, and supports the Director of Internal Audit.

Leads TabaPay’s consumer compliance program and provides independent Second Line oversight for TabaBank’s consumer deposit products. Responsibilities include regulatory guidance, risk assessments, monitoring and testing, product and marketing reviews, complaint oversight, issue remediation, regulatory examination support, governance reporting, and program development. The role requires deep knowledge of consumer deposit regulations, UDAAP, privacy, compliance management systems, and regulated financial services.

Leads the credit union’s compliance management program, monitors regulatory changes, conducts risk assessments and investigations, reviews marketing and disclosures, develops compliance training, oversees third-party risk, and advises leadership and the Board on regulatory matters. The role also partners with internal audit and business units on examinations, reporting, and enterprise risk initiatives while coaching compliance team members.

Develop and maintain insurance compliance programs for wholesale brokerage and Excess & Surplus operations. Monitor state regulations, surplus lines requirements, licensing, market conduct, filings, audits, and operational controls across jurisdictions. Provide regulatory guidance, conduct compliance reviews, assess risks, implement corrective actions, develop training and reporting, and collaborate with brokerage, underwriting, legal, finance, HR, and carrier teams.

Conducts high-volume desk reviews and audits of partner documentation for a Customer Success Practice Maturity Program. Evaluates subjective evidence against established standards, converts findings into objective assessments, communicates requirements and feedback, and applies the LAER customer success framework. The role requires independent judgment, strong analytical and communication skills, audit or compliance experience, and executive presence when engaging partners and stakeholders.

Manages post-award administration for federal and other grants, ensuring compliance with regulations, award terms, and organizational policies. Monitors budgets, expenditures, forecasts, invoices, procurement, contracts, reporting, audits, corrective actions, and closeout activities. Partners with program leaders, Finance, vendors, subrecipients, and funding agencies to resolve issues and maintain accurate, audit-ready records.

Oversee Tenant Participation Activity and Councilmanic Fund budgets, ensuring compliant allocation, spending, financial controls, audits, and timely processing. Manage approximately six staff, review proposals under HUD and NYCHA regulations, identify improper fund usage, train staff and Resident Associations, develop policies, submit performance reports, and support cross-departmental initiatives.

Lead business compliance for Personal Financial Services by implementing compliance frameworks, policies, controls, and monitoring programs. Oversee self-assessments, independent reviews, sales surveillance, regulatory reviews, legislation implementation, gap remediation, governance committees, and regulatory information requests. Advise business units on sales and product governance, coordinate with Group Compliance, Risk, Legal, Audit, and Islamic banking stakeholders, promote compliance culture, and lead compliance projects.

Conduct risk-based compliance reviews of marketing and communications for registered investment adviser and broker-dealer businesses. Evaluate materials under SEC Marketing Rule, FINRA requirements, and applicable regulations; identify regulatory and reputational risks; provide practical guidance; maintain policies and controls; train stakeholders; monitor regulatory developments; support audits and examinations; improve review workflows and technology; and mentor team members.