Top Compliance Officer Jobs

As a Senior Compliance Officer, you will identify compliance obligations, advise stakeholders, and ensure the implementation of policies across the global business.

The Senior Compliance Officer will identify compliance obligations, translate them into policies, manage internal and external relationships, and provide compliance guidance within the payment networks.

As a Senior Compliance Officer, you'll enhance compliance policies, prepare metrics reports, perform quality assurance, and identify risks while collaborating with business partners to foster a strong risk culture.

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

The Regulation W Compliance Officer ensures adherence to Regulation W compliance across bank affiliates, overseeing processes, advising on transactions, and supporting governance.

The Director, Compliance and Control will manage investment adviser compliance programs, ensure regulatory adherence, support strategic business initiatives, and develop policies in line with regulations.

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.

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

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 Compliance Officer will execute compliance monitoring, support audits, advise partners on policies, and manage compliance procedures related to ETFs.

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

As the Compliance Officer, you will develop compliance frameworks, manage risk controls, advise on compliance risks, and ensure adherence to regulatory requirements.

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 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.

The Compliance Officer will support legal and regulatory compliance, manage risks, monitor compliance activities, prepare reports, and deliver training.

Responsible for compliance monitoring, regulatory guidance, training, and managing compliance risks in asset management. Coordinates with regulators and supports compliance projects.

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

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 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.

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.