Top Compliance Manager Jobs

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.

Lead internal control and compliance activities including SOX testing, risk assessments, remediation projects, and month-end accounting support. Coordinate with internal and external auditors, maintain compliance reporting, manage ERP GRC processes, and support regulatory, tax, and statutory reporting. Provide training, process improvements, and monitor controls to mitigate financial and compliance risk.

Lead a team to design, develop, test, implement, and optimize AML transaction monitoring scenarios. Manage the full scenario lifecycle, collaborate with stakeholders (Product, Technology, Decision Science, Model Risk), evaluate ML opportunities, govern project intake, and report on scenario performance and KRIs/KPIs. Continuously improve detection coverage, efficiency, and documentation to support SAR processes.

Manages global tax compliance and reporting for investment funds, including investor Schedules K-1, federal, foreign, state and local filings, FATCA, CRS, ASC 740 disclosures, tax payments, and tax authority examinations. Oversees external providers, coordinates with accounting and operations teams, monitors regulatory changes, develops tax policies, supports investors, and leads tax-reporting training and process improvements.

Manages consumer payments and deposits risk and compliance frameworks, including control assessments, testing, monitoring, regulatory change implementation, issue remediation, risk reporting, and enterprise risk management support. Advises business lines on consumer banking regulations, operational risk, control design, business resiliency, and process improvements. Leads collaboration between business teams and second-line risk functions and manages a team of associates.

Lead DFARS compliance for the Six Government Business Systems (accounting, estimating, purchasing, EVMS, MMAS, property). Develop internal controls, support DCAA/DCMA audits, manage corrective actions, perform risk assessments, maintain policies, deliver training, and implement continuous monitoring and compliance dashboards across functions.

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.

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

Manage Australia and New Zealand tax compliance for Rabobank: prepare and lodge corporate tax and FBT returns, perform thin capitalisation and tax-effect accounting, reconcile tax ledger accounts, prepare disclosures and Head Office reports, provide internal tax advice, support projects and system changes, monitor legislation, and assist senior tax managers.

Lead and coordinate risk, compliance, and control routines for Wealth Management Solutions. Maintain regulatory reporting, governance materials, policy oversight, audit and regulatory responses, risk assessments, and remediation plans while partnering with Compliance, Legal, Internal Audit, and business leaders to identify, monitor, and mitigate operational and regulatory risk.

Provide first-line compliance advisory for Personal Financial Services Credit; liaise with regulators and internal stakeholders; manage audits, assessments and regulatory implementation; drive reviews of regulatory guidelines, self-assessments and internal controls; perform mystery shopping and surveillance; develop dashboards, trainings and compliance programs; and support business unit compliance leads to strengthen governance and operational risk controls.

Lead risk and compliance coordination for Wealth Management Solutions, managing regulatory reporting, controls, governance, audits, policy oversight, risk assessments, remediation, and stakeholder collaboration to mitigate operational, financial, regulatory, and compliance risk.

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.

Lead restricted donation tracking and reporting, design and maintain a global internal controls framework, oversee financial compliance and tax filings (Brazil and U.S.), partner with Fundraising and regional teams to embed controls, support investment strategy, perform financial analyses, and communicate financial information across functions and geographies.

Lead business-unit risk and compliance programs, design and mature control frameworks, monitor regulatory changes, execute testing and remediation, partner with enterprise stakeholders for governance, and manage a team to strengthen risk management maturity and operational outcomes.

Lead Line 2 compliance advisory for Markets, Treasury and Wholesale Banking. Provide regulatory guidance, conduct thematic reviews and incident assessments, support regulatory engagement, implement policy changes, deliver training, and strengthen compliance controls and reporting to senior stakeholders and regulators.

The Senior Manager will oversee U.S. income tax compliance, engage with external advisors, assist in tax modeling, and improve processes while collaborating with various stakeholders.

Lead and manage branch exam team overseeing compliance with regulatory requirements and firm policies. Supervise up to 10 staff, drive examiner training and assessments, ensure timely accurate exam reports, enforce internal controls, improve processes, handle staffing and hiring, and liaise with business leaders and advisors to resolve complex issues.

Lead SOX readiness risk assessments and execute SOX program activities for key financial processes. Partner with finance, IT, project teams, and external auditors to evaluate control design, communicate responsibilities, and ensure continued compliance as systems and processes change.

Lead design and daily operation of the Capital Partners compliance program, ensuring regulatory filings and controls for exempt reporting advisers and Bermuda investment entities. Monitor legal/regulatory developments, design risk-based testing, respond to regulators, support investor due diligence, provide training, and collaborate with global legal, risk, finance, and business teams.

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.

Own and manage the companys multi-state money transmitter licensing portfolio, regulatory reporting, and examination support across the U.S.; coordinate regulator communications, filings, and remediation; support product and geographic expansion compliance; maintain licensing records and calendars; coordinate external counsel and mentor licensing staff.

Provide fractional compliance advisory to alternative investment firms and family offices: develop and implement compliance programs, Form ADV filings, policies, controls, training, regulatory exam readiness, risk assessments, remediation, and ad-hoc projects.

Lead SOX risk assessment and control design/testing for assigned financial processes. Mentor SOX specialists, coordinate with finance, IT, and auditors, evaluate project impacts on controls, drive remediation, maintain SOX records in BWise, and report metrics to leadership while ensuring compliance with accounting and auditing standards.