Top Compliance Officer Jobs

Provide second-line compliance oversight for corporate lending, structured products and commercial real estate. Monitor and challenge compliance identification, escalation, remediation, and regulatory matters; advise on regulatory change and lending policy; assess credit product and deal-structure risk; lead standards, governance, and remediation efforts; interface with Legal, Audit, and regulators.

Lead compliance for prime brokerage and equities: develop and enforce regulatory policies, monitor trading and brokerage activities, manage risk and controls, liaise with regulators, and lead a compliance team to ensure adherence to SEC/FINRA and internal standards.

Administer and enhance the bank's regulatory compliance programs (complaint management, Identity Theft/Red Flags, HMDA, CRA). Conduct monitoring, testing, reporting, regulatory exam support, policy reviews, training, and liaison with regulators and senior management.

Support and administer the firm's compliance program across private equity, private debt, and ETF products. Monitor SEC and Investment Advisers Act compliance, perform testing and surveillance, assist with regulatory filings and exams, coordinate with cross-functional teams, support product launches (including digital asset ETFs), investigate issues, maintain records, and prepare board reporting.

The Senior Compliance Officer will lead compliance monitoring, testing, and resource management, develop metrics, and ensure effective stakeholder communication to uphold regulatory standards.

The Compliance Officer I will review loans to ensure they meet investor and regulatory guidelines by validating processing and reviewing necessary documents and systems.

The Compliance Officer ensures adherence to regulatory standards through inspections, training, policy updates, and investigations, requiring strong analytical skills and clear communication.

Provide compliance coverage for equity and debt capital markets: advise on private placements, underwriting and liability management; develop policies and procedures; advise on cross-border and Reg BI issues; monitor MNPI, conflicts and wall-crossing; deliver training; support regulatory developments, exams and audits; partner with senior business leaders to embed compliance into transactions and risk decisions.

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.

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

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.

Support Control Room Manager in maintaining information barriers and employee trading compliance for Global Capital Markets. Manage confidential and material nonpublic information, monitor employee trading, enforce policies, produce reports, and ensure adherence to laws, regulations, and firm policies. Coordinate with business lines and stakeholders and perform administrative, analytical, and communication tasks to support compliance programs.

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

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

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

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.

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.

Develop, maintain, and manage the banks compliance program, including policies, risk assessments, training, compliance reviews, CRA program oversight, consumer complaint management, regulatory communications, and support for examinations and third-party auditors. Reviews marketing, products, and operations for regulatory adherence and keeps management informed of rule changes.

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 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 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.

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.

Lead consumer banking and BaaS compliance efforts: assess regulatory actions, advise business teams on payments and consumer regulations, review new products, develop monitoring and reporting, remediate control gaps, and interface with regulators and executives. Drive compliance programs, risk-based client reviews, and documentation updates to align products and controls with regulatory and internal risk tolerance.

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.