Top Compliance Officer Jobs

Provides second-line compliance oversight and advisory support for an equities sales and trading business. Responsibilities include monitoring risk-based compliance programs, overseeing CAT and other transaction reporting, maintaining controls and standards, assessing and remediating compliance issues, advising stakeholders on regulations, and presenting risk metrics to management and governance committees. The role partners with Audit, Legal, Risk, and regulators and requires expertise in equity products, trading environments, and regulatory reporting.

Provides second-line compliance oversight for Futures Commission Merchant activities, enhancing compliance programs, conducting risk assessments and monitoring, advising business leaders, challenging risk practices, escalating deficiencies, interpreting regulations, supporting regulatory examinations, preparing governance reports, overseeing futures trading and clearing risks, and developing compliance training.

Provides second-line compliance, conduct, and operational risk oversight for CIB Payments products. Responsibilities include assessing new products and initiatives, monitoring regulatory changes, strengthening controls, supporting audits and regulatory exams, managing remediation, and collaborating with business, legal, finance, audit, and control teams. Uses AI/ML, analytics, Tableau, Alteryx, and workflow automation to improve risk insights and decision-making.

Own and enhance the AML program for digital asset clients, including KYC, KYB, KYT, enhanced due diligence, transaction monitoring, investigations, and SAR filing determinations. Lead Chainalysis implementation, configuration, alert-rule development, and risk calibration. Manage case workflows, identify blockchain transaction typologies, coordinate with legal and technology teams, and respond to regulators and law enforcement across global jurisdictions.

Supports the broker-dealer compliance program through FINRA registrations and filings, employee compliance and personal trading reviews, communications surveillance, marketing compliance, compliance system administration, branch examinations, policy testing, due diligence, and regulatory initiatives. The role provides guidance across the organization and helps enhance compliance policies and procedures in response to evolving business and regulatory requirements.

Lead AML/BSA, KYC/KYB, fraud, transaction monitoring, and sanctions compliance programs. Manage banking and financial institution relationships, oversee investigations and UAR/SAR processes, translate regulations into operational controls, coordinate audits and examinations, track regulatory developments, and deliver compliance training. Partner cross-functionally with Legal, Product, Engineering, and Operations to support responsible product growth and regulatory readiness.

Monitors investment compliance across public pension portfolios, managers, trading, ethics, proxy voting, policies, risk, performance, asset allocation, and regulatory requirements. Reviews due diligence, verifies portfolio and variance data, supports investment policy updates, trains fiduciary staff, responds to regulators, and reports compliance findings. The role requires strong investment, financial markets, analytical, statistical, reporting, and communication skills, with occasional business travel.

Ensures the investment firm's business complies with applicable regulations, internal policies, and ethical standards. Responsibilities include timely regulatory reporting, responding to inquiries, documenting procedures, addressing trading strategy and technology-control issues, supporting SEC reviews, and conducting compliance monitoring, testing, and control implementation. The role requires knowledge of securities regulations and financial services operations, with familiarity with Bloomberg or Charles River preferred.

Executes second-line compliance and operational risk oversight for CFO Capital activities across U.S. and EMEA entities. Reviews market risk capital calculations, governance, controls, data quality, regulatory reporting, and related processes. Identifies and escalates risks, challenges control effectiveness, monitors regulatory changes, supports audits and regulatory inquiries, maintains regulatory inventories, and develops risk management reporting.

Supports the credit union’s compliance program by monitoring BSA, AML, OFAC, and other regulatory requirements. Investigates fraud alerts, suspicious activity, and member claims; files regulatory reports; reviews high-risk accounts and businesses; conducts enhanced due diligence; provides compliance guidance and training; monitors compliance and fraud software; prepares management reports; and supports risk management, regulatory updates, and process improvements.

Lead compliance advisory and regulatory change management for financial products and services. Partner with Product, Engineering, Marketing, Credit, and other teams on product launches, disclosures, customer journeys, controls, and regulatory requirements. Own marketing materials review, bank partner approval submissions, third-party risk oversight, complaint management, policy governance, and regulatory change implementation. Translate complex regulations into actionable product guardrails, policies, procedures, and controls while supporting the broader compliance management system.

The Chief Compliance Officer will lead the company’s enterprise compliance strategy and Compliance Management System across four states. Responsibilities include managing regulatory examinations, audits, investigations, enforcement matters, and relationships with regulators and outside counsel. The officer will advise executive leadership and the Board on consumer finance, lending, collections, privacy, employment, and enterprise risk issues while ensuring compliance with applicable federal and state regulations.

Support the firm’s compliance program for retail forex operations by monitoring CFTC and NFA requirements, advising business partners, maintaining registrations and licensing, supporting regulatory examinations, reviewing communications, delivering training, supervising AML/KYC due diligence, monitoring suspicious activity, preparing SAR filings, and overseeing customer complaint handling.

The Chief Compliance Officer leads the bank’s compliance risk management framework, advises executives and the Board on regulatory obligations, oversees policies, training, monitoring, remediation, and regulatory change management, and ensures compliance across business functions. The role also supports corporate governance, contracts, litigation management, product development, mergers, acquisitions, and other strategic initiatives while promoting practical, risk-based controls and customer-focused outcomes.

Leads global compliance programs for private markets investment management, timberland, agriculture, and infrastructure businesses. Oversees SEC Rule 206(4)-7 compliance, policies, testing, regulatory examinations, filings, conflicts, governance, licensing, operational and property-management compliance, training, investigations, and regulatory change management across multiple jurisdictions. Serves as Chief Compliance Officer for investment adviser entities and partners with executives, boards, legal, investment, operations, and regulatory stakeholders.

Administers and monitors anti-money laundering software to support BSA/AML compliance. Responsibilities include system maintenance, configuration, upgrades, data quality, access management, performance testing, automation, database support, issue resolution, regulatory data requests, and recommendations for system changes. Serves as the subject matter expert for AML software and related databases while providing accurate information to compliance management.

Conduct complex enhanced due diligence and financial crime investigations for client relationships. Analyze transactions and large data sets for suspicious activity, document findings, recommend risk ratings or account closures, review prospective clients during onboarding, support regulatory examinations and audits, and assist with training and departmental assignments.

Lead River’s compliance program and team, serving as BSA Officer and owning BSA/AML, OFAC sanctions, regulatory testing, risk assessments, licensing, audits, and regulatory relationships. Drive the OCC national trust charter process, oversee compliance for new products, advise executives and the Board, and build scalable compliance systems for a rapidly growing Bitcoin financial institution.

The Financial Compliance Officer manages finance and accounting compliance for the Africa Region. Responsibilities include coordinating internal, external, tax, donor, statutory, and government audits; monitoring corrective actions; reviewing financial transactions and controls; ensuring timely tax filings and certifications; assessing compliance risks; supporting accounting processes; and advising or training staff on financial policies, regulations, and reporting requirements.

Supports the Fair and Responsible Banking program through fair lending and UDAAP testing, comparative file reviews, policy reviews, monitoring analysis, risk assessments, corrective-action guidance, subject matter expertise, and compliance training for business lines and internal teams.

Leads the compliance program for an SEC-registered investment adviser overseeing venture capital and private equity strategies. Responsibilities include regulatory compliance, governance, risk management, conflicts, trading, financial crimes, privacy, regulator and auditor liaison activities, and advising senior leadership and the board. The role collaborates across Legal, Finance, Operations, Risk, Audit, and Technology teams while managing a small compliance team.

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.

Oversee the bank’s regulatory compliance program for lending and deposits, including policy development, risk assessments, complaint management, HMDA reporting, regulatory exam preparation, staff training, and compliance supervision. The role coordinates with legal counsel and leadership on products, interprets regulatory updates, supports committees, and ensures adherence to federal and state requirements.

Join Arootah's advisor network to provide fractional Chief Compliance Officer–level, project-based compliance leadership for hedge funds, private equity firms, and family offices. Advise on SEC/regulatory matters, design and improve compliance programs, conduct reviews and risk assessments, support exams and due diligence, and partner with leadership to strengthen governance and controls.

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.