Top Compliance Manager Jobs

Lead a compliance team to manage regulatory inquiries and examinations, provide regulatory guidance across Trading and Operations, implement controls and QA processes, and train staff to ensure SEC and FINRA compliance for broker-dealer activities.

Lead design and operation of Apex Asset Managements Advisers Act compliance program. Own regulatory filings and SEC/state exams, oversee marketing and solicitation compliance, portfolio/trading controls, vendor due diligence, and training. Partner with Legal, Operations, Product, and enterprise compliance to implement monitoring, testing, and reporting for sub-advisory, co-advisory, and solicitor/promoter arrangements.

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.

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.

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

Lead day-to-day payment network and acquiring bank escalations for Visa, Mastercard, Amex and bank partners. Investigate incidents, prepare evidence and remediation plans, respond under deadlines, conduct merchant due diligence, support audits, identify recurring risks, and drive control and workflow improvements while maintaining audit-ready case records.

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.

As a Manager in Financial Services International Tax Compliance, you will analyze complex tax scenarios, lead teams, and develop strategic tax solutions for multinational clients while ensuring compliance with regulations.

Lead all aspects of U.S. income tax compliance for the company, including federal, state, international reporting, and tax provision support. Manage audits, improve processes, and supervise the tax team.

The Manager, Compliance oversees compliance activities, manages a team, ensures regulatory adherence, coordinates regulatory exams, and supports business units.

Lead SOX compliance and internal controls across multiple brands and sites, manage audits, prepare/review journal entries and reconciliations, drive process improvements, support financial close and reporting, mentor accounting staff, and lead cross-functional projects to standardize and scale accounting practices.

Lead and manage financial investigations and compliance engagements including scoping, evidence collection, forensic accounting, asset tracing, interviews, internal control testing, and report writing. Interface with clients, supervise junior staff, prioritize multiple cases under tight deadlines, and support business development and cross-office collaboration.

Lead and manage complex financial investigations, forensic accounting and compliance engagements. Oversee case teams, perform interviews and internal controls testing, write client-focused reports, manage client relationships, support business development and proposals, and ensure high-quality case delivery and administrative management.

Manage and support the U.S. compliance program, focusing on BSA/AML, consumer compliance (Reg E, UDAAP), audits, regulatory remediation, policy maintenance, due diligence, and cross-functional coordination with regulators and stakeholders.

Manage compliance for capital markets products, advising leadership, conducting reviews, administering monitoring/testing, responding to regulators, creating policies/training, supervising compliance staff, and supporting process redesign and risk identification.

Design, implement, and oversee AML, sanctions, and fraud compliance programs for precious metals operations. Manage CIP/CDD/EDD, TBML controls, high-value transaction monitoring, sanctions screening, supplier due diligence, risk assessments, audit/exam responses, executive reporting, model validation, and tailored AML/fraud training. Serve as subject-matter expert and regulator/auditor liaison.

Manage end-to-end payroll for hotel employees, oversee financial administration including reconciliations and budgeting, ensure compliance with California and federal employment laws, lead HR administration and training, conduct internal audits, and support department leaders on workforce planning and policy implementation.

Lead and manage internal audit engagements: plan and execute audits, supervise and review staff work, identify risks and control gaps, draft reports, monitor engagement schedules, coordinate with IT/AML/Compliance teams, and ensure adherence to audit standards and regulations.

Manage client regulatory compliance engagements for alternative and traditional investment clients. Develop, implement, and test compliance programs, oversee regulatory filings and annual reviews, lead trainings and mock exams, support SEC/FINRA/CFTC/NFA exam responses, mentor junior staff, and contribute to business development and operational excellence.

Lead end-to-end execution of U.S. federal and domestic corporate income tax returns, manage return workpapers and elections, reconcile return-to-provision differences, oversee information reporting, coordinate with advisors and Tax Strategy, maintain audit-ready documentation, support IRS audits, and identify process improvements to enhance compliance efficiency.

Lead a team delivering motor fuels tax compliance and consulting services: manage monthly returns, client onboarding, data review, reconciliations, quality control, billing support, and client/staff communications while ensuring timely, accurate project delivery.

Lead tax compliance, audits, forecasting, and planning for federal, state, and local taxes. Manage a tax team, prepare tax calculations and filings, implement AI-driven process improvements, collaborate with finance/legal/audit, and maintain documentation and defense-ready workpapers for the Aerospace and Defense sector.

Lead end-to-end SOX/ICFR program for assigned businesses: manage risk assessments, control design and testing (TOD/TOE), remediation, stakeholder governance, and continuous improvement. Oversee audit workpapers, evaluate deficiencies, drive remediation and automation/rationalization initiatives, and coach the team to strengthen control culture across Finance, Operations, Technology, and business units.