Top Compliance Officer Jobs

The Chief Compliance Officer will lead the company’s enterprise compliance strategy and Compliance Management System across four states. Responsibilities include managing regulatory examinations, audits, investigations, enforcement matters, and relationships with regulators and outside counsel. The officer will advise executive leadership and the Board on consumer finance, lending, collections, privacy, employment, and enterprise risk issues while ensuring compliance with applicable federal and state regulations.

The Compliance Officer ensures advisors and associated persons comply with federal, state, SEC, FINRA, MSRB, and firm requirements. Responsibilities include researching regulations, communicating compliance requirements, reviewing applications and advertising, testing policies and procedures, supporting audits, and serving as a supervisory principal or subject matter expert. The role also contributes to compliance program development, risk assessment, investigations, and continuous improvement while handling sensitive information and collaborating across the firm.

Leads the bank’s Compliance Management System and quality control programs across lending and deposit products. Oversees compliance reviews, transactional testing, risk assessments, complaints, policy administration, third-party oversight, regulatory change management, and new product reviews. Advises senior leadership and business lines on regulatory risks, supports audits and examinations, develops governance materials, and drives remediation and continuous improvement. Requires extensive banking or regulatory compliance expertise, strong leadership, analytical, communication, and problem-solving skills.

Leads investment product compliance across brokerage and advisory platforms. Provides risk-based oversight, product governance, regulatory guidance, control assessments, remediation support, policy and training development, regulatory change management, and technology-enabled compliance improvements. Partners with Compliance, Legal, Risk, and business leaders to manage investment product risks, support responsible growth, and strengthen governance frameworks.

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.

Provides second-line compliance oversight for enterprise fraud and dispute processes. Responsibilities include interpreting federal banking regulations, conducting monitoring, risk assessments, transaction testing, gap analyses, and remediation verification; advising business lines; reviewing controls; developing policies and training; and supporting risk-mitigation projects. The role requires strong knowledge of banking fraud and customer disputes, regulatory research, risk assessment, communication, and analytical skills.

Provides senior financial management and CFO Act compliance support across DoD Special Access Program portfolios. Responsibilities include SAP financial oversight, PPBE process improvement, acquisition compliance, budget and program data analysis, knowledge management, leadership reporting, and training. Requires extensive DoD financial statement, audit, compliance, and project management experience, along with an active TS/SCI clearance and SAP eligibility.

Supports the broker-dealer compliance program through FINRA registrations and filings, employee compliance and personal trading reviews, communications surveillance, marketing compliance, compliance system administration, branch examinations, policy testing, due diligence, and regulatory initiatives. The role provides guidance across the organization and helps enhance compliance policies and procedures in response to evolving business and regulatory requirements.

Supports second-line risk and compliance activities for the Belgian entity, including control testing, operational and ICT risk oversight, DORA compliance, outsourcing, safeguarding, remediation tracking, regulatory reporting, policy ownership, regulatory horizon scanning, consumer protection, conduct reviews, and whistleblower or ML/TF investigations.

The Regional Investment Compliance Officer monitors pre- and post-trade investment compliance activity across the Americas. Responsibilities include validating alerts, analyzing investment restrictions, testing compliance rules, investigating breaches, documenting audit trails, responding to stakeholders, supporting regulatory and audit activities, and improving monitoring processes. The role collaborates with investment, trading, legal, technology, data, and global compliance teams across multiple asset classes and jurisdictions.

Lead AML/BSA, KYC/KYB, fraud, transaction monitoring, and sanctions compliance programs. Manage banking and financial institution relationships, oversee investigations and UAR/SAR processes, translate regulations into operational controls, coordinate audits and examinations, track regulatory developments, and deliver compliance training. Partner cross-functionally with Legal, Product, Engineering, and Operations to support responsible product growth and regulatory readiness.

Monitors investment compliance across public pension portfolios, managers, trading, ethics, proxy voting, policies, risk, performance, asset allocation, and regulatory requirements. Reviews due diligence, verifies portfolio and variance data, supports investment policy updates, trains fiduciary staff, responds to regulators, and reports compliance findings. The role requires strong investment, financial markets, analytical, statistical, reporting, and communication skills, with occasional business travel.

Lead compliance advisory and regulatory change management for financial products and services. Partner with Product, Engineering, Marketing, Credit, and other teams on product launches, disclosures, customer journeys, controls, and regulatory requirements. Own marketing materials review, bank partner approval submissions, third-party risk oversight, complaint management, policy governance, and regulatory change implementation. Translate complex regulations into actionable product guardrails, policies, procedures, and controls while supporting the broader compliance management system.

The Chief Compliance Officer leads the bank’s compliance risk management framework, advises executives and the Board on regulatory obligations, oversees policies, training, monitoring, remediation, and regulatory change management, and ensures compliance across business functions. The role also supports corporate governance, contracts, litigation management, product development, mergers, acquisitions, and other strategic initiatives while promoting practical, risk-based controls and customer-focused outcomes.

Administers and monitors anti-money laundering software to support BSA/AML compliance. Responsibilities include system maintenance, configuration, upgrades, data quality, access management, performance testing, automation, database support, issue resolution, regulatory data requests, and recommendations for system changes. Serves as the subject matter expert for AML software and related databases while providing accurate information to compliance management.

Conduct complex enhanced due diligence and financial crime investigations for client relationships. Analyze transactions and large data sets for suspicious activity, document findings, recommend risk ratings or account closures, review prospective clients during onboarding, support regulatory examinations and audits, and assist with training and departmental assignments.

Lead River’s compliance program and team, serving as BSA Officer and owning BSA/AML, OFAC sanctions, regulatory testing, risk assessments, licensing, audits, and regulatory relationships. Drive the OCC national trust charter process, oversee compliance for new products, advise executives and the Board, and build scalable compliance systems for a rapidly growing Bitcoin financial institution.

Supports the Fair and Responsible Banking program through fair lending and UDAAP testing, comparative file reviews, policy reviews, monitoring analysis, risk assessments, corrective-action guidance, subject matter expertise, and compliance training for business lines and internal teams.

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.

Oversee the bank’s regulatory compliance program for lending and deposits, including policy development, risk assessments, complaint management, HMDA reporting, regulatory exam preparation, staff training, and compliance supervision. The role coordinates with legal counsel and leadership on products, interprets regulatory updates, supports committees, and ensures adherence to federal and state requirements.

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.

Ensures compliance with regulatory requirements, financial institution laws, and internal policies. Maintains the policies and procedures manual, coordinates policy adoption and review, supports risk management, oversees internal controls for credit processes, coordinates audits and follow-up, tracks regulatory updates, and provides compliance and credit policy training.

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.

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.