Top Compliance Manager Jobs

Oversee financial crime compliance for North American onboarding and customer due diligence programs, focusing on AML and fraud investigations. Advise stakeholders on BSA, AML/CTF, OFAC, and related regulations; challenge and approve controls, products, and process changes; represent compliance to regulators and auditors; support SAR governance and risk assessments; monitor KRIs and management information; identify risks and coordinate mitigation plans.

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 quality assurance for AML compliance testing: review testers' work, develop and validate test plans, manage reporting and audit deliverables, train and coach staff, integrate regulatory changes, pilot testing tools/AI methods, coordinate data sourcing, and provide status and insights to stakeholders.

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 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.

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.

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 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.

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 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 compliance risk management for Auto Finance by advising business lines on regulatory requirements, product and process design, controls, remediation, and governance. Analyze trends, support reporting and audits/exams, drive local governance and training, and coordinate cross-functional risk management and continuous improvement efforts.

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.

Build and operate the Trust Bank’s Compliance Management System, leading fiduciary compliance, third-party risk, affiliate transactions, privacy, UDAP, regulatory monitoring, training, and compliance reporting. The role prepares Board and committee materials, supports audits and examinations, drafts policies and procedures, and provides second-line oversight across risk assessments, monitoring, testing, and issue management.

Lead US GAAP tax accounting and compliance: prepare and review ASC 740 provisions, manage federal/state/local filings, coordinate audits, improve tax processes, and advise business units on tax matters.

Manages regulatory engagement with UK regulators and industry bodies, coordinates FCA consultation responses, monitors emerging regulatory developments, and provides strategic compliance insight. The role prepares executive briefings, supports governance forums, identifies regulatory risks and opportunities, and partners with Compliance, Risk, Legal, Public Affairs, and business teams to shape policy positions and regulatory change responses.

The Audit Manager I will lead audit engagements, oversee audit processes, mentor staff auditors, and enhance risk management. They ensure audits align with regulatory guidelines and maintain communication with management regarding audit status and findings.

The Audit Manager I oversees audits, executes compliance checks, and presents findings, contributing to risk assessment and operational efficiency improvement initiatives.

The Compliance Business Oversight Manager oversees compliance in Consumer Banking, ensuring adherence to regulations, managing compliance risks, and advising stakeholders on best practices.

The Audit Compliance Manager I oversees and conducts audits, ensuring compliance with standards while providing insights for operational improvements. They lead projects, communicate findings, and manage stakeholder relationships, focusing on internal controls and risk assessments.

Lead compliance across APAC, overseeing AML/CTF and financial crime management while advising senior leadership and ensuring industry standards are met.