Top Compliance Jobs

Supports enterprise risk management, audit readiness, control testing, risk assessments, corrective action plans, and regulatory compliance. Maintains control documentation, prepares audit evidence and testing materials, tracks findings, and partners with business leaders to strengthen governance and risk practices. The role also participates in privacy, security, vendor, system-change, and operational risk reviews while supporting reporting and remediation activities.

Supports Financial Compliance and Procure-to-Pay teams with tax filings, state audits, T&E and P-card audits, procedure and control documentation, compliance system administration, customer inquiries, government surveys, and reporting. The internship requires accounting or finance coursework, analytical and Excel skills, attention to detail, communication abilities, and proficiency with office and database software.

Lead the design, implementation, and governance of enterprise sanctions screening controls for cryptocurrency, blockchain, and digital asset activity. Own the second-line operating model, integrate blockchain analytics and screening technologies, translate regulatory expectations into controls and risk models, oversee testing and documentation, manage vendors, and provide regulator- and audit-facing leadership. Partner with Compliance, Technology, Operations, and senior leadership to address sanctions risks, improve alert quality, support product approvals, and enhance control effectiveness.

Leads and independently performs consumer compliance audits from planning through completion. Tests controls, documents findings, manages stakeholder communications, reviews audit work, assesses risks, recommends control improvements, follows up on findings, and presents audit opinions and recommendations to management. Acts as a subject matter expert, supports audit initiatives, coaches colleagues, and ensures compliance with internal policies, regulatory guidelines, and professional audit standards.

Own and operate the transaction monitoring program for a cross-border fintech. Responsibilities include implementing and tuning AML rules, managing alerts and investigations, reviewing transactions, making SAR and STR decisions, supporting regulatory exams and audits, handling fraud and sanctions-related escalations, and reporting program metrics. The role partners with Engineering on monitoring systems and requires expertise in cross-border payments, fintech financial crime compliance, SQL analysis, and US and international filing requirements.

Manage the customer onboarding queue for fintech and financial infrastructure customers. Review KYC/KYB documentation, beneficial ownership, source of funds, licenses, and business activity; conduct sanctions, PEP, and adverse media screening; assign risk ratings; investigate and escalate high-risk cases; support periodic reviews; maintain procedures; respond to examiner and correspondent bank inquiries; and track onboarding performance metrics.

Leads the organization’s SOX and internal controls over financial reporting program. Oversees risk assessments, process walkthroughs, control design and effectiveness testing, deficiency remediation, reporting, and audit coordination. Advises business process owners, communicates with executives and the Disclosure Committee, manages employees, and drives process improvements. Requires extensive financial services controls experience, knowledge of banking regulations and auditing standards, and professional certification.

Reviews tax filings, financial transactions, reimbursement claims, and refund requests for compliance with Nebraska tax regulations. Prepares returns, spreadsheets, work papers, reports, and recommendations; computes individual income tax adjustments; contacts taxpayers for records and explanations; responds to inquiries; and documents findings for Revenue professionals.

Performs investment risk data analysis, quality checks, and regulatory reporting using technology platforms. Works with vendors, risk managers, and technology teams to resolve risk metric issues, gather reporting requirements, support enhancements and user acceptance testing, and develop automated reporting for stakeholders. Ensures recurring operational processes and data checks are completed accurately and on time.

Manages company forms, regulatory compliance processes, forms databases, regulatory change workflows, filings, and implementation across digital platforms. Develops and revises applications and disclosures, coordinates stakeholder approvals, supports compliance research, conducts forms testing, and maintains tracking systems. The role also leads process-improvement projects and provides technical support for forms management systems and iPipeline.

Participate in a 12-week banking compliance internship within Anti-Money Laundering or Governance, Risk & Compliance. Assist with compliance projects, data analysis, documentation, reporting, regulatory adherence, process improvement, and administrative support while gaining exposure to risk management and regulatory frameworks.

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.

Participate in a 12-week banking compliance internship within Anti-Money Laundering or Governance, Risk & Compliance. Support compliance projects, data analysis, documentation, reporting, regulatory adherence, meetings, process improvements, and administrative tasks supporting the bank’s compliance program.

Supports governance, risk, and compliance initiatives across enterprise risk management and regulatory compliance. Responsibilities include assisting with risk and control assessments, issue tracking, monitoring, data analysis, dashboards, management reporting, regulatory research, documentation, process improvement, automation, and presentations to GRC leadership.

Manages and oversees the bank’s US Privacy Compliance Program, including privacy monitoring, impact assessments, regulatory applicability mapping, control reviews, issue management, and risk assessments. Initially supports privacy risk oversight for a merger and acquisition project, then advises business portfolios on privacy laws, policies, procedures, and compliance requirements. Provides regulatory guidance, reporting, presentations, stakeholder management, and oversight of high-risk initiatives and escalations.

Leads compliance strategy for Vanguard’s brokerage, advisor services, and workplace businesses. Advises business leaders on regulatory requirements, oversees compliance programs and policies, leads regulatory exams and investigations, develops corrective action plans, establishes compliance standards, and supports strategic risk-management initiatives. Requires at least eight years of related experience, an undergraduate degree or equivalent, and Series 7 and Series 64 licenses or the ability to obtain them.

Investigates anti-money laundering, counter-terrorist financing, and OFAC matters; researches high-risk customer and commercial account activity; performs enhanced due diligence; prepares and files Suspicious Activity Reports; analyzes trends and large datasets; conducts quality checks; supports regulatory inquiries, governance reporting, and financial crimes compliance initiatives.

Leads post-award research administration, supervising accounting and compliance staff while overseeing sponsored-project financial management, reporting, reconciliations, billing, cash flow, audits, indirect cost recovery, and regulatory compliance. Develops policies, controls, training, metrics, and process improvements; maintains research and financial systems; ensures data integrity; and advises faculty, administrators, sponsors, and campus leadership on complex accounting and grant-management issues.

Reviews and reconciles LIHEAP fuel-delivery transactions, vendor documentation, grant balances, refunds, and financial records. Identifies discrepancies, follows up with vendors and staff, maintains compliance documentation, prepares reports, supports audits and monitoring, and helps improve tracking tools and compliance workflows while safeguarding sensitive information.

The Senior Corporate Auditor supports the corporate audit program by conducting audits, preparing reports, and ensuring compliance with internal controls. Responsibilities include planning audits, providing consultative guidance, and monitoring the implementation of audit recommendations. Travel to various locations for audit projects is required.

Supports registered investment adviser clients with regulatory compliance, annual reviews, risk assessments, policy and procedure maintenance, regulatory filings, employee training, vendor reviews, forensic testing, and SEC, NFA, and state examinations. The role also assists with compliance program development and monitoring for investment advisers and registered funds.

Executes risk-based second-line compliance testing, evaluates control design and operating effectiveness, documents evidence and findings in a GRC platform, analyzes exceptions and emerging risks, and supports remediation with audit, risk, compliance, and business partners. The role requires testing financial-services controls against internal policies and regulatory requirements, including walkthroughs, sample selection, and detailed reporting.

Conducts compliance audits, tests internal controls, documents walkthroughs and findings, coordinates with stakeholders, follows up on audit issues, and supports audit initiatives. The role also prepares reporting and presentations, identifies control weaknesses, ensures adherence to policies and regulatory guidelines, manages assigned workloads, and contributes to process improvements and knowledge sharing.

Reviews Basis of Estimates, cost volumes, and audit responses for compliance with FAR, DFARS, CAS, company policies, and proposal requirements. Develops compliant estimating strategies, supports Cost Estimating Relationships, advises management, coordinates compliance actions, and helps maintain an adequate estimating system rating. The role requires substantial experience with government contracting regulations, proposal cost analysis, and estimating systems.

Supports Cboe Clear US compliance through regulatory analysis, policy and procedure development, control enhancement, risk assessments, monitoring, testing, issue tracking, and remediation oversight. Prepares regulatory filings, examination and audit responses, compliance reports, and Board and committee materials. Partners with business, risk, operations, technology, and legal teams to address evolving CFTC and SEC requirements and strengthen the clearinghouse compliance program.