Top Compliance Jobs

Manage financial oversight and compliance for NC Emergency Management Hazard Mitigation grants, including policy development, GAAP and federal/state regulatory compliance, oversight of awarded funds distribution, technical assistance to local governments, and preparation/presentation of financial reports.

The Accounting & Contract Compliance Manager ensures fiscal accountability and compliance across contracts and grants, maintains financial records, and supports audit and reporting processes.

The Compliance Specialist coordinates audits and compliance activities, supports sponsored research administration, manages audit timelines, and communicates findings to stakeholders while ensuring adherence to regulations and improving internal controls.

The Grants and Compliance Accountant oversees grant compliance, manages financial reporting, monitors expenditures, and provides administrative support for grants. They collaborate with directors and external auditors, ensuring accountability and adherence to grant regulations, while also assisting in budget management and internal control systems.

The Grants & Compliance Accountant II provides technical assistance in grant management, supports compliance, audits, and oversees financial reporting and budgeting processes within the organization.

The Senior Compliance Analyst oversees compliance analysis, documentation review, and policy development while ensuring adherence to financial regulations.

Support tax-related inquiries and processing for Wealth Management. Manage tax payments, ensure compliance, and recommend process improvements.

The role involves overseeing estate tax compliance, managing complex tax filings, ensuring alignment of tax positions, and collaborating with stakeholders to resolve issues.

Support tax-related inquiries in Wealth Management, process payments, ensure compliance, improve processes, and handle tax documentation efficiently.

The Staff Accountant will assist in quarterly and annual financial reporting, perform monthly closing tasks, and support audits and investor communication.

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.

Manage a team of AML investigators, ensure compliance with AML regulations, analyze transaction alerts, and prepare reports. Develop AML policies and conduct training.

The Tax Assistant Vice President will oversee domestic and international tax compliance for BXMA funds, coordinate with accountants, review tax returns, and assist in audits and new product development.

The Ethics & Compliance Manager oversees compliance processes to ensure adherence to laws and regulations, fosters a culture of integrity, and mitigates risks. Key responsibilities include risk assessments, compliance testing, process improvements, and training.

Lead enterprise risk and compliance programs, conduct risk assessments and gap analyses, manage internal and external audits, oversee incident management and governance forums, monitor regulatory changes, test controls, drive remediation, present risk updates to leadership, and promote a culture of compliance across the organization.

The Director will provide compliance advisory for equities, advise on regulatory requirements, and enhance the compliance program while managing multiple projects and interactions with regulators.

As an Investment Compliance Analyst, you will manage trading controls, monitor compliance, prepare reports, collaborate with teams, and enhance compliance processes.

The Head of Compliance oversees compliance and financial crime functions, ensuring regulatory obligations are met and guiding executive leadership in compliance strategy.

The Portfolio Risk Analyst will identify, measure, and mitigate various risks, develop risk frameworks, report on economic capital, and oversee structured products and risk functions.

Support Research Compliance by overseeing consultant interactions and custom projects, chaperoning and documenting consultant calls, maintaining compliance policies and systems, recommending policy improvements, and partnering with investment professionals and compliance team members.

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

The role involves managing sales tax compliance, coordinating data uploads, handling account reconciliations, maintaining business licenses, and providing customer service.

The Sr. Manager will oversee international tax compliance, manage a team, and enhance international tax processes, focusing on US federal income tax.

Lead enterprise GRC strategy and ServiceNow GRC enablement. Partner with risk stakeholders to design, mature, and operationalize RCSA, Issue Management, 3rd Party Risk, Business Continuity, Data Risk, Model Risk, Financial and Credit Risk programs. Drive platform architecture, integrations, UAT, change management, KRIs/KPIs, and mentor junior staff while advising on roadmap and adoption.

The Senior Compliance Analyst supports compliance management, ensuring bank activities meet relevant laws and regulations, while managing inquiries and directing procedural updates.