Top Compliance Officer Jobs

Lead oversight of front-line trade surveillance programs, focusing on FX and rates market abuse. Provide independent challenge, develop standards, monitor remediation, test surveillance modules, present to senior management, advise on regulatory compliance across business lines, and work with surveillance platforms and trade data to resolve moderate-to-high risk compliance matters.

Lead development and execution of AML policies, risk assessments, and investigations across equities, options, futures, crypto and event contracts. Oversee AML monitoring, trade surveillance, KYT, SARs and 314(a)/(b) reporting, regulatory examinations, CDD/EDD efforts, and cross-functional engagement with legal, operations, data, and engineering teams.

Senior AML compliance officer supporting the Enterprise AML Compliance Officer across program strategy, sanctions compliance, transaction monitoring, escalation review, training, policy/risk assessments, regulatory readiness, and VAFA. Leads case oversight, sanctions investigations, alert program tuning, AML training design/delivery, metrics/reporting, and cross‑functional coordination to strengthen a risk‑based enterprise AML program.

The Regional Compliance Officer will advise Wealth Management teams on compliance, conduct risk, and regulatory issues while overseeing risk management and compliance initiatives within the region.

The Senior Compliance Officer oversees compliance with financial aid regulations, manages appeal processes, provides customer service, analyzes data, and supports staff training.

The Compliance and BSA Officer ensures compliance with the Bank Security Act and oversees the BSA/AML/OFAC program, providing guidance, monitoring risks, and maintaining reporting systems. The role involves training staff, handling audits, and updating policies.

Support Global Financial Crimes Division technology governance by developing standards, procedures, and controls for sanctions, KYC, AML, surveillance and core compliance systems. Provide advisory oversight, vendor coordination, control improvements, audit/exam responses, and training while collaborating with global teams and leading governance projects.

Lead compliance for Corporate Trust by advising business partners on regulatory matters, assessing risk and controls, driving remediation, delivering training, supporting audits/testing, developing KRIs, and contributing to strategic compliance initiatives.

Support development and execution of compliance risk assessment and monitoring programs; perform data analysis, reporting, dashboards, and executive governance materials; identify trends, support remediation tracking, and improve GRC reporting and automation.

Support and administer Swap Dealer and Security-Based Swap Dealer compliance program: perform risk assessments, monitoring, testing and surveillance; advise business on regulatory developments and new products; identify and remediate compliance gaps; maintain compliance reporting and data analysis; interact with auditors/regulators and provide guidance to first line of defense.

The Chief Compliance Officer will drive operational excellence and oversee regulatory compliance while managing investment operations and financial oversight.

Review marketing materials for compliance with FINRA and SEC rules, draft disclosures, submit materials to FINRA, and advise advisers on marketing issues.

As a Senior Compliance Officer, you will lead investigations into trade activity to ensure compliance, assess regulatory requirements, and enhance surveillance methodologies.

The Compliance Officer will support compliance functions, assist with regulatory filings, policies, trade reviews, and collaborate with stakeholders and initiatives in the Americas.

Conduct on-site compliance inspections, surveillance and audits for branch and home office units; detect and resolve regulatory issues; support trade reviews, advertising, Form ADV support, CEO certification, employee education, regulatory examinations, and related compliance projects.

Review and audit loan files for compliance with lending guidelines, track and clear post-closing items, coordinate settlements, maintain file integrity, review executed documentation for funding, analyze borrower financials and recommend approval amounts, escalate compliance issues, and collaborate across teams while leveraging AI tools to improve workflows.

Support execution and maintenance of regulatory compliance and operational risk programs by coordinating monitoring, audits, reporting, policy updates, issue remediation, data analysis, and cross-functional communication to ensure adherence to laws, regulations, and internal policies.

Support development and management of regulatory compliance and operational risk programs. Assist with audits/exams, incident identification and remediation, KRI monitoring, policy/procedure development, product risk reviews, testing, reporting, and compliance training. Coordinate responses to findings and communicate risk developments to management.

Lead implementation and oversight of the Bank's Consumer Compliance Program. Conduct complex QA reviews, monitor remediation, develop policies and training, advise business units on regulatory changes, support examinations/audits, and report to executive leadership. Provide compliance guidance for products, marketing, and processes while promoting a robust compliance culture.

Lead and manage the bank's compliance framework and Compliance Management System. Provide strategic direction, second-line oversight, policy development, regulatory guidance, risk mitigation, staffing, training, and collaboration with senior leaders and business units to ensure adherence to laws, regulations, and industry best practices.

Support and enforce gaming and IRS Title 31 compliance by developing controls and procedures, conducting audits and investigations, preparing reports (SARs, CTRs, W2Gs), filing taxable gaming proceeds, training staff, and coordinating with Tribal Gaming Office, auditors, and IT for system monitoring and accountability.

Lead and scale compliance for an RIA and Broker-Dealer: own policies, surveillance, product reviews, regulatory exams (SEC/FINRA), compliance training, and embed compliance into product and engineering to enable fast, safe growth.

Lead the bank's compliance and CRA programs, ensuring adherence to federal and state regulations (BSA/AML/OFAC, HMDA). Develop and maintain compliance and CRA plans, policies, training, risk assessments, and reports. Validate HMDA data, liaise with examiners and auditors, chair the Compliance/CRA committee, advise on residential and consumer legal matters, and oversee community outreach and CRA-qualified investments.

Lead compliance functions for a brokerage firm: maintain Written Supervisory Procedures, support AML program and supervisory reviews, manage regulatory filings and vendor oversight, develop compliance training, investigate issues, oversee supervisory activities, maintain documentation, coordinate regulatory responses, and support firmwide compliance initiatives.

The Senior Compliance Officer will manage compliance for Invesco's Americas operations, oversee regulatory requirements, assist with internal and client reporting, and maintain compliance practices across account types.