Top Compliance Manager Jobs

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.

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.

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.

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 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.

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 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.

Serve as the Line of Business Compliance Officer for U.S. Corporate Card Programs, providing independent, second-line oversight. Assess compliance risk for products, features, marketing, disclosures, and digital journeys; support CRA, RCIM, KRIs, and RBST; identify and drive remediation of compliance issues; collaborate with Legal, Audit, Financial Crimes, Privacy and other stakeholders; assist with regulatory examinations and inquiries.

The Manager of SEC Reporting oversees compliance, reporting, and accounting processes. This role ensures timely SEC filings, coordinates with other teams, and supports risk and compliance initiatives, while leading a robust accounting organization.

Manage U.S. international tax compliance and reporting, oversee informational returns (Forms 5471, 8858, 8865, 1042/1042-S), FBAR, W-8s; support tax provisions, research tax issues, coordinate with consultants and treasury, and drive process improvements across international tax function.

Lead and govern SPE's IT SOX program, overseeing ITGCs, CLCs, and SOX readiness for implementations and transformations. Perform IT risk assessments, drive control design and remediation, embed compliance into the SDLC, coordinate internal/external audits, and advance automation and governance for emerging technologies.

Lead end-to-end compliance due diligence and control reviews for prospective payments clients. Assess complex business models, payment flows, and regulatory requirements; recommend onboarding decisions; advise on AML/BSA, sanctions, CIP/CDD/EDD; partner with banks, payment networks, and internal stakeholders; improve onboarding policies, SOPs, and governance; mentor junior compliance staff and monitor regulatory and card network developments.

Lead and modernize the organization-wide grant compliance program, ensuring adherence to federal, state, local, and private funder requirements. Oversee compliance monitoring, financial stewardship, reporting, Single Audit readiness, internal controls, process improvements, and risk mitigation. Partner with Finance, Programs, Development, and Executive Leadership to design scalable workflows, conduct internal reviews, and respond to funder inquiries and audits.

Lead and manage complex financial investigations, forensic accounting, and regulatory compliance engagements. Oversee case teams, conduct investigative interviews and internal control testing, write client-facing reports, manage client relationships, and drive business development while ensuring high standards of case delivery and team development.

Lead the investment compliance Monitoring function, overseeing pre-trade, post-trade, and batch monitoring in Charles River. Guide complex compliance interpretations, manage violation escalation and remediation, drive automation and rule optimization, support regulatory changes and vendor oversight, and develop team capability while partnering with Investment, Legal, Risk, and Operations to strengthen governance and controls.

Oversee mortgage compliance program: manage licensing and exam readiness, handle complaints and SAR reviews, support audits, track corrective actions, and advise staff on regulatory matters while partnering with operations and QC/QA.