Top Compliance Officer Jobs

Lead compliance oversight for home lending, maintaining risk standards, monitoring remediation, advising front line and leadership on regulatory matters, interfacing with Audit/Legal/regulators, and driving process improvements across moderate-to-high risk mortgage compliance programs.

Lead oversight of home lending compliance programs, monitor regulatory risk, advise business units, manage remediation and regulatory engagements, report findings, and develop controls and process improvements to ensure adherence to federal, state, agency, legal, and corporate policy requirements.

Lead and oversee home lending compliance programs, monitor regulatory risk, advise business lines, manage remediation and regulatory engagements, report findings, and drive process improvements across mortgage and capital markets compliance.

Lead compliance oversight for home lending: establish and maintain risk standards, monitor remediation, advise business units, manage regulator/audit interactions, and provide independent compliance challenge across moderate-to-high risk matters.

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.

Supports credit compliance across TD Securities’ corporate lending portfolio. Responsibilities include reviewing deal documentation and covenants, maintaining LoanIQ profiles, monitoring reporting requirements, managing exceptions, reconciling compliance reports, maintaining records, coordinating with lending and operations teams, supporting audits and regulatory reviews, and improving compliance processes and controls.

Administers the bank’s Consumer Compliance Management System and supports compliance governance, regulatory analysis, risk assessments, monitoring and testing, complaint management, regulatory change management, examination readiness, issue remediation, reporting, training, and compliance guidance across consumer banking products and services.

Evaluates multifamily housing developments and loan programs for compliance with LIHTC, FHA, and affordable housing requirements. Conducts property reviews and inspections, analyzes occupancy data and certifications, monitors loans and troubled properties, prepares compliance reports, responds to owner and tenant inquiries, delivers customer training, collects program fees, reports noncompliance, and helps update policies and procedures.

Lead and own Poshmark's BSA/AML program, governance, and risk framework. Manage KYC/KYB, sanctions screening, SAR filings, vendor relationships, regulatory exams, training, product compliance sign-off, and program health reporting.

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.

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.

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.

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.

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.

Lead Lennar Mortgage's Compliance Management System, oversee regulatory exams and licensing, implement AI and automation governance, direct monitoring/testing, drive training and policy governance, and report compliance risks to executives and the Board.

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 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.

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.

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 and maintain the FCM and Introducing Brokers compliance program, ensure CFTC/CME rule adherence, manage regulatory exams and reporting, enhance surveillance and control frameworks, perform risk-based testing, advise business and tech teams, and deliver targeted compliance training.

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.

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.

Manage corporate compliance processes including associate training, registrations, disclosures and attestations; respond to compliance inquiries; monitor and report disclosures; identify and investigate compliance risks; collaborate with Compliance Analytics, Business Process, and IT to improve workflows; support ad-hoc Corporate Compliance projects.

Lead SEC registration and design Infra One's US compliance operating system. Build written policies (Form ADV, AML/KYC, custody), run multi-fund monitoring and GP due diligence, manage exams and regulator relationships, advise on fund structuring and conflicts, and define organizational substance, books-and-records, and cybersecurity compliance for a scalable platform.

Provide technical ERISA and retirement-plan compliance guidance, research regulations, review plan amendments, support correction and pre-acceptance reviews, assist compliance testing and filings, and partner with retirement plan, audit, and compliance teams to manage risk and ensure regulatory alignment.