Top Compliance Officer Jobs

Performs second-line compliance quality assurance testing across onboarding, AML, monitoring, and termination risks. Identifies control gaps, supports remediation, develops reporting, delivers training, and enhances compliance oversight methodology. Partners with risk, legal, finance, sales, and other stakeholders to strengthen controls, execute governance initiatives, and provide practical regulatory guidance.

Leads the compliance program for Cash App Investing’s FINRA- and SEC-regulated broker-dealer business. Responsibilities include developing policies and controls, overseeing supervisory procedures, regulatory filings, communications review, complaints, examinations, remediation, AML coordination, vendor oversight, governance reporting, and regulator engagement. The role advises product, engineering, legal, marketing, and operations teams while building and managing a high-performing compliance organization.

Supports the Chief Compliance Officer in building and administering a federally chartered trust bank’s compliance management system and BSA/AML program. Responsibilities include AML controls, CDD/EDD, transaction monitoring, SAR workflows, OFAC sanctions, Travel Rule compliance, blockchain analytics, compliance testing, issue remediation, regulatory change management, Board reporting, and OCC examination readiness. The role focuses on digital asset custody and fiduciary services while maintaining an independent compliance function.

Supports the Chief Compliance Officer/BSA Officer in building and administering a federally supervised trust bank’s compliance management and BSA/AML programs. Responsibilities include AML controls, customer due diligence, transaction monitoring, OFAC sanctions, wallet screening, digital asset typologies, compliance testing, issue remediation, regulatory change management, OCC examination readiness, audits, and Board reporting.

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.

Leads and personally administers an investment adviser compliance program, including monitoring, testing, reviews, risk assessments, regulatory filings, investigations, training, and remediation. Serves as the primary liaison with LPL Financial, advises leadership and advisors on SEC and broker-dealer requirements, coordinates examinations and audits, tracks corrective actions, and escalates significant risks. The role requires independent judgment, strong documentation and investigative skills, and hands-on ownership of compliance operations.

Conduct communications surveillance for Corporate and Investment Banking, reviewing email, chat, and other channels for market abuse, information-barrier breaches, conflicts, and policy violations. Analyze alerts, escalate potential issues, update case records, support regulatory reviews and audits, calibrate surveillance systems, identify process improvements, and collaborate with Compliance, Control Room, Technology, trading desks, auditors, and regulators. Coach colleagues and manage specialized compliance activities independently.

Supports TD Securities’ Trade and Communications Surveillance portfolio by coordinating regulatory initiatives, remediation activities, governance reporting, project milestones, issues management, read-across reviews, procedures, regulatory responses, and program enhancements. The role collaborates with Compliance, Risk, Technology, business stakeholders, auditors, and regulators while tracking risks, maintaining documentation, preparing executive materials, and supporting an effective compliance control environment.

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.

Supports the Bank’s corporate compliance program through compliance reviews, audits, assessments, transactional testing, remediation tracking, risk evaluations, and reporting to senior management. Identifies procedural deficiencies, recommends solutions, validates corrective actions, provides employee guidance and training, and collaborates with legal, audit, risk management, regulators, and business stakeholders. The role focuses on consumer compliance, wealth management, trust, investment, BSA/AML, OFAC, and related regulations.

Serves as Chief Compliance Officer for a multiple series trust containing mutual funds and ETFs. Maintains compliance policies, oversees service-provider compliance programs, conducts reviews and site visits, supports trust boards, manages AML responsibilities and regulatory examinations, prepares annual compliance reports, and supervises support staff. Partners with other compliance officers on regulatory changes, client updates, webinars, and departmental projects.

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.

The Compliance Officer ensures advisors and associated persons comply with federal, state, SEC, FINRA, MSRB, and firm requirements. Responsibilities include researching regulations, communicating compliance requirements, reviewing applications and advertising, testing policies and procedures, supporting audits, and serving as a supervisory principal or subject matter expert. The role also contributes to compliance program development, risk assessment, investigations, and continuous improvement while handling sensitive information and collaborating across the firm.

Supports branch examinations and compliance testing through SQL-based analysis, dashboards, data validation, repeatable testing, risk identification, and remediation tracking. The role investigates exceptions and trends, communicates findings to nontechnical stakeholders, documents data logic and quality checks, and collaborates with compliance, business, examination, and technology teams. It also helps automate recurring reporting and testing using Alteryx, Power Automate, and Power Apps.

Conduct routine and for-cause compliance examinations of branch offices and advisory locations for an SEC-registered investment adviser and FINRA-regulated broker-dealer. Assess adherence to SEC, FINRA, state, and internal requirements; test risk areas; document findings; report violations; track remediation; maintain examination records; refine procedures; identify trends; and support regulatory examinations.

Lead the design, implementation, and governance of enterprise sanctions screening controls for cryptocurrency, blockchain, and digital asset activity. Own the second-line operating model, integrate blockchain analytics and screening technologies, translate regulatory expectations into controls and risk models, oversee testing and documentation, manage vendors, and provide regulator- and audit-facing leadership. Partner with Compliance, Technology, Operations, and senior leadership to address sanctions risks, improve alert quality, support product approvals, and enhance control effectiveness.

Leads the bank’s Compliance Management System and quality control programs across lending and deposit products. Oversees compliance reviews, transactional testing, risk assessments, complaints, policy administration, third-party oversight, regulatory change management, and new product reviews. Advises senior leadership and business lines on regulatory risks, supports audits and examinations, develops governance materials, and drives remediation and continuous improvement. Requires extensive banking or regulatory compliance expertise, strong leadership, analytical, communication, and problem-solving skills.

Leads investment product compliance across brokerage and advisory platforms. Provides risk-based oversight, product governance, regulatory guidance, control assessments, remediation support, policy and training development, regulatory change management, and technology-enabled compliance improvements. Partners with Compliance, Legal, Risk, and business leaders to manage investment product risks, support responsible growth, and strengthen governance frameworks.

Lead and manage the firms compliance programs including Code of Ethics, AML/KYC review, trade surveillance, marketing review, policy and training development, vendor and technology oversight, regulatory filings, and integration of AI and automation to improve compliance efficiency.

Provides second-line compliance oversight for enterprise fraud and dispute processes. Responsibilities include interpreting federal banking regulations, conducting monitoring, risk assessments, transaction testing, gap analyses, and remediation verification; advising business lines; reviewing controls; developing policies and training; and supporting risk-mitigation projects. The role requires strong knowledge of banking fraud and customer disputes, regulatory research, risk assessment, communication, and analytical skills.

Provides senior financial management and CFO Act compliance support across DoD Special Access Program portfolios. Responsibilities include SAP financial oversight, PPBE process improvement, acquisition compliance, budget and program data analysis, knowledge management, leadership reporting, and training. Requires extensive DoD financial statement, audit, compliance, and project management experience, along with an active TS/SCI clearance and SAP eligibility.

Conducts regulatory compliance risk assessments, monitoring, surveillance, and testing. Develops test plans, analyzes results, documents evidence, identifies control weaknesses, and oversees remediation. Advises business stakeholders on regulatory requirements, emerging risks, and compliance solutions. Leads testing engagements, communicates findings to management, and maintains expertise in applicable regulations while supporting effective compliance controls and minimizing operational risk.

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.

Supports second-line risk and compliance activities for the Belgian entity, including control testing, operational and ICT risk oversight, DORA compliance, outsourcing, safeguarding, remediation tracking, regulatory reporting, policy ownership, regulatory horizon scanning, consumer protection, conduct reviews, and whistleblower or ML/TF investigations.