Top Compliance Manager Jobs

Provides second-line compliance risk oversight for the U.S. credit card business. Advises Customer Servicing and Strategy teams on regulations, products, processes, controls, monitoring, remediation, and compliance risk. Performs control assessments, UDAAP reviews, testing, issue evaluation, regulatory guidance, reporting, governance activities, and compliance program development. Maintains expertise in Regulation Z, Regulation B, FCRA, UDAAP, and the Compliance Risk Management Framework while partnering with business leaders and challenging compliance decisions.

Manage regulatory licensing, reporting, examination readiness, obligation inventories, control assessments, remediation tracking, and regulatory submissions for Mastercard’s payments and digital assets business. Coordinate with Legal, Compliance, Risk, Operations, Product, Finance, and business teams across U.S. and international jurisdictions. Prepare regulator communications, board and management reporting, compliance metrics, risk assessments, and evidence supporting examinations and licensing obligations.

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.

Oversee AML and fraud controls for Wise’s North American onboarding and customer due diligence programs. Advise stakeholders on BSA, AML/CTF, OFAC, and regulatory requirements; challenge and approve control changes, products, and features; monitor financial crime metrics and risks; support SAR governance and risk assessments; conduct regulatory horizon scanning; and represent compliance oversight to regulators, auditors, and partners.

Leads network compliance risk management for Capital One’s network and merchant businesses. Provides compliance advice and effective challenge, evaluates laws and regulations, identifies emerging payments risks, supports new products and business expansions, and strengthens the compliance program within the three-lines-of-defense framework. Partners with Business Risk, Legal, Audit, and senior leaders while serving as a subject matter expert for payments and network compliance.

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.

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.

Serve as second-line compliance advisor for US Card business, providing regulatory guidance (Reg Z, Reg B, FCRA, UDAAP), performing control assessments, advising on product/process changes, supporting compliance testing and remediation, participating in governance and reporting, and partnering with business leaders to integrate compliance into strategy and operations.

Lead risk and compliance activities for a high-risk banking environment: prepare for audits and regulatory exams, draft policies and governance, evaluate internal controls, run risk assessments and gap analyses, maintain training, monitor regulatory changes, and produce KRI/KPI Board-level reporting.

Manage operational risk and compliance across Rabobank’s Strategy & Transformation Office. Responsibilities include embedding the Risk Management Framework, advising on transformation initiatives, assessing risks and controls, monitoring risk profiles, supporting incident remediation, delivering analytics and reporting, facilitating governance forums, and strengthening first-line risk practices. The role requires extensive financial services risk experience, stakeholder influence, knowledge of compliance frameworks, and the ability to guide large-scale change initiatives.

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.

Provides independent compliance oversight and challenge for consumer banking deposit products and back-office operations. Conducts regulatory risk assessments, manages issues and regulatory change, reviews testing and control mapping, monitors complaints and risk indicators, and advises business leaders on regulatory requirements. Partners across Compliance, Risk, and business functions, presents recommendations to executives, supports audits and examinations, and leads remediation and compliance program improvements.

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.

Own and build mortgage compliance for a new multi-state lending business: administer the CMS, manage NMLS licensing, prepare regulatory filings (HMDA, MCR, state reports), resolve loan-level compliance issues, lead exams and remediation, run BSA/AML program including SAR/CTR filings, track regulatory changes, and partner with legal, ops, and tech to enable compliant, tech-forward lending.

Lead ONFR governance and compliance programs, manage enterprise compliance activities, QA committee reporting, records/access and attestations, and act as BCP coordinator. Drive strategic initiatives from business case through execution, provide regulatory and risk subject-matter expertise, lead change management, stakeholder communications, benchmarking, and data-driven decision making to ensure alignment with enterprise goals and regulatory requirements.

Leads the bank’s day-to-day compliance operations and supports the Compliance Officer in managing enterprise compliance risk. Oversees monitoring, complaint management, policy administration, regulatory changes, staff training, examination readiness, reporting, and cross-functional compliance initiatives. The role requires expertise in consumer lending regulations, regulatory examinations, audits, and compliance monitoring, along with leadership, analytical, communication, and organizational skills.

Leads finance compliance and risk management for the global IM Transcend ERP transformation. Owns compliance strategy across design through deployment and run-state transition, manages SOX and finance control testing, coordinates audit and assurance activities, monitors risks and remediation, and advises senior leadership on release readiness. The role integrates compliance requirements across processes, data, technology, and deployment workstreams while driving control standardization, automation, and effective transition to operational teams.

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.

Manages government business systems compliance under DFARS requirements, including accounting, earned value management, estimating, material management, property, and purchasing systems. Interfaces with DCAA and DCMA, serves as an audit focal point, maintains the government business system control framework, assesses compliance risks, and partners with process owners to implement mitigation measures.

Manage government accounting and compliance, ensuring adherence to regulations and standards while supporting US government operations. Lead financial reporting and audits, collaborate with teams, and maintain scalable accounting processes.

Manages global market data compliance audits for CME Group customers, including financial institutions and information vendors. Conducts on-site and remote audits, reviews market data consumption and permissioning systems, identifies policy violations, negotiates audit settlements, and assesses financial liabilities. Develops audit best practices, improves compliance processes, communicates findings to customers and leadership, and maintains relationships with internal and external stakeholders.

Manage global VAT compliance engagements across the UK, EU, and international markets. Deliver accurate VAT returns and indirect tax filings, provide quality assurance and expert analysis, serve as a trusted client advisor, improve compliance processes through technology and knowledge sharing, and mentor junior team members.

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.

Provide independent second-line compliance oversight for U.S. Corporate Office programs. Support design, implementation, assessment, and monitoring of regulatory compliance management activities; advise stakeholders, manage regulatory reviews and escalations, prepare reporting and audit responses, and drive remediation. Partner with Legal, Risk, Finance, Audit, Technology and business units to identify and mitigate compliance risk across jurisdictions.