Top Compliance Officer Jobs

Provides second-line compliance oversight for Futures Commission Merchant activities, enhancing risk assessments, monitoring, governance, reporting, and regulatory frameworks. Advises business leaders on CFTC, NFA, CME, futures trading, clearing, reporting, segregation, and position-limit requirements. Monitors and remediates compliance issues, supports regulatory examinations, prepares senior-management reports, develops training, and partners with legal, audit, risk, regulators, and business stakeholders.

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.

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.

Supports regulatory strategy and business management across Compliance, Conduct and Operational Risk. Responsibilities include strategic planning, budgeting, headcount and expense management, control oversight, audit and testing coordination, culture initiatives, governance meetings, exam operations, and regulator deliverables. The role manages regulatory engagement standards, crisis notifications, resolution planning, supervisory meetings, and information submissions while partnering with senior internal and regulatory stakeholders.

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 Control Room Senior Associate maintains JPMorgan Chase’s information barriers and monitors information flows between private- and public-side businesses. Responsibilities include managing Watch and Restricted lists, reviewing research publications, chaperoning covered communications, advising front-office teams on restrictions and permissible interactions, interpreting Control Room policies, and delivering compliance training. The role partners with Banking, Sales and Trading, Asset Management, senior leaders, and global stakeholders.

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.

Lead and manage the enterprise BSA/AML/OFAC compliance program, oversee a team (3-5 direct reports), design policies and controls, drive risk assessments, manage regulatory examinations and SAR/CTR filings, coordinate with enterprise partners, and ensure program effectiveness and training.

Assists the Director of Compliance with managing the credit union’s Compliance Management System. Oversees compliance monitoring, regulatory change analysis, issue reporting, documentation, audits, examinations, and organization-wide training. Supervises and mentors Compliance Analysts while serving as a subject matter expert on financial institution laws, regulations, and consumer protection requirements.

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.

Reviews compliance data and reports, provides effective challenge to business units, and supports the Compliance Management System for mortgage servicing. Advises on regulatory interpretation, risk assessments, issue management, controls, policies, procedures, and exams. Monitors corrective actions, validates risk mitigation effectiveness, identifies control improvements, prepares reports, and communicates findings to management and risk committees.

Develops and manages the bank’s compliance program, including regulatory monitoring, testing, reporting, training, policy oversight, complaint investigations, risk assessments, and audit support. Reviews marketing materials, disclosures, products, services, and operational activities for compliance. Researches banking regulations, advises business units and senior management, identifies systemic risks, supports remediation, and oversees compliance requirements involving BSA, AML, OFAC, CIP, privacy, lending, deposits, payments, and operations.

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.

Maintains the credit union’s BSA/AML and OFAC compliance programs, including CTR and SAR filing, alert investigation, suspicious activity analysis, regulatory reporting, examinations, audits, training, and risk assessments. Reviews member accounts and transactions for fraud, sanctions, and other illicit activity. Performs quality control reviews of teller operations, new accounts, account changes, wires, monetary instruments, and other services to ensure compliance with policies, procedures, and regulations.

Provides independent compliance oversight for the Wealth Management division, including BSA/OFAC activities, regulatory interpretation, risk assessments, fiduciary controls, monitoring, testing, policy governance, and corrective actions. Coordinates audits and regulatory examinations, supports remediation, delivers compliance guidance and training, and oversees the Medallion Stamp Program. Partners with leadership to evaluate risks, address emerging compliance issues, and strengthen the compliance program.

Administer the Wealth Management compliance program, including BSA/OFAC activities, regulatory monitoring, risk assessments, control reviews, and policy maintenance. Conduct compliance monitoring and testing, evaluate fiduciary and operational controls, identify deficiencies, support remediation, provide regulatory guidance and training, assist with audits and examinations, and manage the Medallion Stamp Program.

Leads enterprise regulatory compliance and ethics for a financial institution and investment affiliate. Oversees the Compliance Management Program, Fair Lending, CRA, risk assessments, testing, monitoring, regulatory change management, complaint management, training, policy governance, and issue remediation. Reports to the Board and executive leadership, chairs the Compliance Committee, manages the compliance team, coordinates regulatory examinations, investigates ethical concerns, and partners with business leaders to strengthen risk management and compliance culture.

Owns Poshmark’s US BSA/AML and financial crimes compliance program, including policy governance, risk assessments, sanctions controls, SAR oversight, audit and regulatory exam readiness, executive reporting, training, vendor governance, and operational quality. Partners with Product, Engineering, Operations, Legal, Finance, Risk Strategy, banking partners, auditors, and regulators to translate requirements into controls, workflows, and scalable compliance processes.

Reviews and approves marketing, advertising, sales, digital, and institutional materials for investment products across RIA, broker-dealer, and direct platforms. Interprets SEC, FINRA, MSRB, and related regulations; advises Marketing, Portfolio Management, Product, Administration, and Legal; improves compliance policies and processes; supports regulatory examinations; and contributes to compliance initiatives and technology improvements.

Conduct on-site and remote compliance inspections, surveillance, and audits for branch and home office units; support trade reviews, advertising/marketing reviews, Form ADV compliance, supervisory policy updates, regulatory examinations, and employee compliance education. Travel ~30-40%.

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.

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.

Oversee brokerage compliance and risk obligations, including WSP updates, regulatory filings, AML monitoring, supervisory reporting, compliance training, regulatory surveillance, investigations, documentation, and annual compliance calendars. Partner with the CCO and departments on audits, regulatory requests, and corrective actions while advising employees on compliance requirements. The role requires extensive broker-dealer experience, FINRA and SEC knowledge, securities licenses, financial product expertise, and familiarity with compliance technology.