Top Compliance Manager Jobs

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.

Manages technical accounting, construction revenue recognition, monthly WIP schedules, close support, fixed assets, leases, multi-state tax compliance, fuel tax filings, and tax depreciation. Oversees lien waivers, subcontractor compliance, licensing, internal controls, audit support, lender and surety reporting, budgeting, forecasting, and job-level variance analysis. Partners with the CFO, Controller, project managers, payroll, asset management, AP, and external advisors to improve financial processes and manage compliance risk.

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.

Manages global HR Systems compliance, audit, governance, and operational risk programs. Responsibilities include control documentation and testing, audit planning and execution, findings remediation, compliance reporting, user access governance, data retention, privacy, and system integrity reviews. Partners with Legal, Cybersecurity, Information Security, Payroll, and Data Privacy teams while supporting ISO, SOC 1, payroll, and divisional audits. Oversees Kainos SmartAudit automation and continuous process improvements across Workday, UKG, and other HR platforms.

Manages compliance, audit, risk, and governance programs across global HR systems. Oversees control documentation, testing, audit planning, reporting, remediation, CAPA investigations, and compliance metrics. Partners with Legal, Cybersecurity, Information Security, Data Privacy, Payroll, and HR teams to protect employee data and support ISO, SOC 1, payroll, and other audits. Leads audit automation using Kainos SmartAudit and oversees access governance, record retention, data lifecycle management, and system integrity reviews across Workday, UKG, and other HR platforms.

Leads IT financial compliance and SOX activities, including infrastructure and application control design, IT general controls testing, change management, access governance, data pipeline controls, audit readiness, and remediation. Partners with engineering, security, finance, data, and external auditors to assess systems, document controls, address gaps, and automate evidence collection across cloud infrastructure and financial reporting environments.

Leads complex wealth-management complaint investigations, breach assessments, dispute resolutions, regulatory submissions, and executive communications. Partners with banking, product, operations, legal, and customer advocacy stakeholders to determine policy or regulatory breaches, recommend settlements and remediation, identify systemic risks, and improve processes. Serves as the regulatory liaison for FIMM and FMOS submissions while ensuring accurate, timely case closure and compliance with Malaysian requirements.

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.

The Compliance Manager oversees bank compliance testing, monitoring, regulatory reviews, risk assessments, issue remediation, policy analysis, reporting, and regulatory consulting. The role serves as a subject matter expert for assigned compliance programs, supports enterprise compliance governance, manages regulatory relationships, and may supervise compliance staff. Responsibilities include interpreting banking regulations, developing risk-based testing strategies, tracking corrective actions, reporting findings to leadership, and improving compliance controls and processes.

Provides second-line compliance and risk management support for a credit card business. Advises leaders on regulatory requirements, product development, controls, policies, monitoring, remediation, UDAAP, compliance testing, third-party compliance, and governance reporting. Reviews control assessments, evaluates audit and regulatory issues, identifies risks, and recommends corrective actions. Requires strong knowledge of compliance frameworks, applicable laws, and card operations, with occasional travel to company locations.

Leads independent, risk-based regulatory compliance testing across U.S. consumer protection, payments, safeguarding, state money transmission, disclosures, complaints, and remediation. Defines testing populations, evidence plans, procedures, and failure criteria; evaluates control design and operating effectiveness; analyzes data; writes findings and reports; validates remediation; challenges stakeholders; and supports examinations, audits, partner due diligence, and governance reporting.

The Compliance Testing Manager oversees independent compliance testing, quality assurance, validations, and testing engagements. Responsibilities include planning and leading reviews, executing testing, analyzing regulatory requirements, documenting findings, managing escalations, advising stakeholders, and ensuring compliance with risk management standards. The role also provides subject matter expertise, leads cross-functional initiatives, mentors team members, and supports continuous improvement of the bank’s compliance monitoring and testing program.

Leads compliance testing teams and ensures timely execution of testing plans, issue validation, regulatory alignment, and remediation activities. Provides strategic direction, analytical research, risk assessment, reporting, and guidance to senior management and business partners. Manages staff performance, development, hiring, and team priorities while improving compliance testing processes and responding to emerging regulatory requirements.

Plans, oversees, and occasionally executes independent compliance testing engagements. Leads testing from planning through reporting and issue follow-up, provides compliance methodology expertise, analyzes regulatory requirements and risks, guides stakeholders and team members, and escalates significant issues. The role also supports compliance program improvements, cross-functional initiatives, process efficiency, regulatory alignment, and team development.

Leads and independently performs consumer compliance audits from planning through completion. Tests controls, documents findings, manages stakeholder communications, reviews audit work, assesses risks, recommends control improvements, follows up on findings, and presents audit opinions and recommendations to management. Acts as a subject matter expert, supports audit initiatives, coaches colleagues, and ensures compliance with internal policies, regulatory guidelines, and professional audit standards.

Own and operate the transaction monitoring program for a cross-border fintech. Responsibilities include implementing and tuning AML rules, managing alerts and investigations, reviewing transactions, making SAR and STR decisions, supporting regulatory exams and audits, handling fraud and sanctions-related escalations, and reporting program metrics. The role partners with Engineering on monitoring systems and requires expertise in cross-border payments, fintech financial crime compliance, SQL analysis, and US and international filing requirements.

Manages and oversees the bank’s US Privacy Compliance Program, including privacy monitoring, impact assessments, regulatory applicability mapping, control reviews, issue management, and risk assessments. Initially supports privacy risk oversight for a merger and acquisition project, then advises business portfolios on privacy laws, policies, procedures, and compliance requirements. Provides regulatory guidance, reporting, presentations, stakeholder management, and oversight of high-risk initiatives and escalations.

Leads teams conducting independent, risk-based compliance testing and issue validations. Oversees testing plans, regulatory assessments, remediation tracking, stakeholder communications, and emerging-risk reporting. Provides strategic direction, subject-matter expertise, and regulatory guidance while managing talent, performance, priorities, and program improvements. Partners with business and compliance leaders to strengthen controls, address findings, and maintain alignment with regulatory expectations.

Leads U.S. federal and state corporate and partnership tax compliance, including Forms 1120 and 1065, K-1 reporting, estimated payments, tax provisions under ASC 740, forecasting, and tax analyses. Manages tax data, software, audits, notices, and compliance obligations while partnering with Accounting, FP&A, auditors, and tax advisors. Supports tax planning, acquisitions, restructurings, and process improvements in a multi-entity environment.

Manages independent, risk-based compliance testing engagements from planning through reporting and follow-up. Provides subject matter expertise on compliance risks, controls, regulations, and testing methodologies; leads specialists and concurrent reviews; validates corrective actions; identifies and escalates risks; and collaborates with stakeholders. The role also supports strategic initiatives, process improvements, regulatory analysis, mentoring, and adherence to enterprise compliance frameworks.

Manage first-line operational risk and compliance for Retail and Reverse Mortgage businesses. Responsibilities include risk and control assessments, control testing, regulatory change support, incident investigation, root-cause analysis, remediation, risk monitoring, governance reporting, business continuity, operational resilience, and risk capability development. The role partners with business leaders and stakeholders across financial services functions to embed effective risk practices and provide constructive challenge.

Leads Raymond James’s enterprise policy governance program, including policy drafting, stakeholder review, regulatory alignment, committee and board approvals, publication, exception reporting, corrective actions, and compliance training. Conducts gap analyses, researches regulatory developments, monitors audits and correspondence, recommends policy improvements, and supports automation and operational efficiency. Partners with senior stakeholders, business units, regulatory agencies, and compliance teams while mentoring associates and managing complex projects.

Provides commercially focused compliance advice across banking operations, regulatory requirements, risk management, conflicts of interest, privacy, market abuse, and conduct. Partners with stakeholders to embed controls, manage breaches, support audits, update policies, monitor regulatory developments, deliver training, and contribute to management and Board reporting.