Top Compliance Officer Jobs

The Senior Compliance Officer will oversee compliance monitoring, support regulatory requests, maintain procedures, and collaborate with global teams.

Support design, implementation, and oversight of the firm's wholesale broker-dealer compliance program. Develop and maintain written supervisory procedures, advise business on regulatory requirements and wholesale/retail boundaries, perform testing and monitoring, manage licensing/registrations, coordinate regulatory responses and exams, review sales and advertising, lead projects, support training, and monitor regulatory changes.

Execute risk-based compliance monitoring and testing to validate bank adherence to laws and regulations. Develop workpapers, report findings with root-cause analysis, verify remediation, perform complaint and data analytics, use social media listening and AI tools for marketing compliance, and support annual risk assessments while maintaining stakeholder relationships.

The Compliance Officer supports investment risk management by developing risk frameworks, conducting compliance reviews, and ensuring adherence to regulations, while fostering a risk-aware culture within the team.

The Financial Crime Compliance Officer will support compliance initiatives, maintain financial crime control frameworks, and assist with KYC and sanctions processes.

The Chief Risk & Compliance Officer is responsible for overseeing compliance and risk management across AIA Investment Management, ensuring effective governance and risk procedures, advising senior management, and participating in decision-making processes while maintaining relationships with regulatory bodies.

Lead PIMCO's global compliance program, ensuring governance, regulatory alignment, and effective risk management while mentoring a high-performing team and enhancing operational resilience.

The Capitol Compliance Officer & Internal Auditor role is responsible for conducting audits, ensuring compliance with regulations, and providing recommendations for fiscal practices with a focus on operational effectiveness. This position requires analyzing financial systems and maintaining internal audit systems within the Office of the State Treasurer.

The Compliance Officer ensures compliance with securities laws and internal policies, conducts reviews, prepares documentation, and trains staff.

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

The Senior Compliance Officer supports compliance monitoring and testing, executes testing engagements, and develops compliance metrics while collaborating globally to ensure regulatory adherence.

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

Lead the bank's compliance program by building a risk-based framework, providing regulatory guidance to senior leadership, overseeing policy development, compliance monitoring, training, contract and litigation review, and partnering with business lines to ensure regulatory adherence and practical, customer-focused solutions.

Develops and maintains the banks compliance program, conducts compliance reviews and training, manages CRA and consumer complaint programs, reviews policies, marketing, and products for regulatory compliance, assists with regulatory examinations, and coordinates with consultants and bank departments to ensure adherence to federal, state, and local banking regulations.

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.

Lead compliance for BNY Pershing Wealth Services by providing regulatory guidance on product development, conducting risk assessments and monitoring, designing and maintaining compliance programs, analyzing legislation and regulatory guidance (SEC/FINRA), and supporting the Chief Compliance Officer in managing broker-dealer compliance activities.

The AML Compliance Testing & Monitoring Officer creates annual test plans, executes tests, analyzes results, and communicates findings with stakeholders while ensuring compliance with AML regulations.

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.

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.

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

The Compliance Officer will support compliance functions, assist with regulatory filings, policies, trade reviews, and collaborate with stakeholders and initiatives in the Americas.

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