Top Compliance Officer Jobs

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.

Ensure the credit union complies with federal and state regulations; perform consumer and fair lending testing; develop, revise, and implement policies and procedures; train staff; maintain records and reporting; investigate complaints and present compliance findings to senior management.

Support Chief Compliance Officers for multiple mutual fund and ETF trusts. Review and monitor adviser compliance programs and service providers, conduct and report annual due diligence visits, prepare Trust Board reports and certifications, assist with onboarding/offboarding, monitor compliance gaps, support quarterly adviser calls, and complete assigned projects.

Lead and manage the firms compliance programs including Code of Ethics, AML/KYC review, trade surveillance, marketing review, policy and training development, vendor and technology oversight, regulatory filings, and integration of AI and automation to improve compliance efficiency.

Support onboarding compliance by performing CDD/KYB: gather and verify documentation, run risk assessments, flag/escalate suspicious activity, maintain records, assist periodic reviews and reporting, update procedures, and use compliance platforms to ensure BSA/AML, OFAC, and FinCEN adherence.

Advise U.S. Bank Capital Markets as regulatory subject-matter expert for Fixed Income and Sales & Trading. Oversee risk management, identify compliance gaps, influence policies and procedures, ensure regulatory adherence, manage and train a team of compliance professionals, and partner with business and risk leaders to mitigate regulatory exposure.

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

Provide compliance support for Public Finance, Capital Markets and Commodities. Conduct surveillance, on-site branch and home office compliance inspections, regulatory responses and audits, review advertising and electronic communications, maintain WSPs and policies, and resolve regulatory or supervisory issues as assigned.

Review and approve marketing and advertising materials for proprietary and third-party funds and advisory programs to ensure FINRA and SEC compliance; draft disclosures; submit materials to FINRA and manage correspondence; advise broker-dealer and investment advisers on marketing issues; assist with preparation and amendments of Form ADV filings.

Lead preparation and filing of global regulatory and substantial shareholder reports. Support compliance for SEC, CFTC/NFA, FINRA and Form PF, document controls, respond to regulatory inquiries, monitor trading-related controls, collaborate with global compliance teams, and maintain compliance procedures and testing.

Lead the banks enterprise compliance program, oversee regulatory compliance (CRA, HMDA, fair lending, privacy), vendor management, training, examination readiness, legal correspondence, and reporting to senior management and the Board. Develop risk-based policies, monitor regulatory change, review products and processes for compliance, manage vendor and privacy programs, and coordinate CRA and lending/deposit compliance activities.

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

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.

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

Lead the Advertising Review team to review and approve marketing and communications across RIA and broker-dealer platforms. Provide SEC/FINRA/ETF marketing compliance expertise, support examinations, optimize review workflows and technology (including Red Oak AdMaster), and lead, mentor, and scale a distributed team to ensure timely, risk-based reviews.

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.

Support development and execution of compliance risk assessment and monitoring programs; perform data analysis, reporting, dashboards, and executive governance materials; identify trends, support remediation tracking, and improve GRC reporting and automation.

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.

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.