Top Compliance Jobs

Perform KYC and commercial credit due diligence on customers and counterparties, verify legal-entity and ownership structures, run sanctions/PEP/adverse-media screens, assess financial statements and creditworthiness, assign risk ratings, prepare written risk assessments, maintain audit-ready documentation, and partner with commercial teams to support compliant onboarding.

Perform KYC and credit due diligence on commercial counterparties: verify legal entities and beneficial ownership, run sanctions/PEP/watchlist and adverse-media screenings, analyze financials and payment capacity, assign risk ratings, conduct enhanced due diligence for high-risk cases, maintain audit-ready records, prepare risk assessments, and partner with commercial teams to support compliant onboarding.

Lead design and daily operation of the Capital Partners compliance program, ensuring regulatory filings and controls for exempt reporting advisers and Bermuda investment entities. Monitor legal/regulatory developments, design risk-based testing, respond to regulators, support investor due diligence, provide training, and collaborate with global legal, risk, finance, and business teams.

Lead and run Octaura's U.S. broker-dealer compliance program, advise executives on regulatory risk, own AML and surveillance, manage registrations and regulatory filings, embed compliance into product and commercial decisions, select compliance technology, and build data and AI governance while supporting growth and regulatory responses.

Lead Lennar Mortgage's Compliance Management System, oversee regulatory exams and licensing, implement AI and automation governance, direct monitoring/testing, drive training and policy governance, and report compliance risks to executives and the Board.

Support operational effectiveness testing of SOX controls across Finance. Partner with SOX Design Managers, control owners, and IT for walkthroughs, monitoring, and remediation. Provide mentorship, program ownership for Sarbanes-Oxley initiatives, and help ensure accurate financial statements and audit readiness.

Lead and manage internal audit engagements: plan and execute audits, supervise and review staff work, identify risks and control gaps, draft reports, monitor engagement schedules, coordinate with IT/AML/Compliance teams, and ensure adherence to audit standards and regulations.

Perform daily post-trade compliance testing using automated monitoring systems, investigate breaches, communicate with stakeholders, document compliance determinations, validate data, support reporting and UAT, and help implement rules and process improvements for investment portfolios.

Support the VP Compliance Officer to ensure adherence to the Compliance Management System with emphasis on deposit regulations. Serve as subject-matter expert, conduct internal monitoring reviews, review disclosures and marketing materials, assist with audits/exams, oversee complaint management, train staff, communicate regulatory changes, and compile risk committee materials.

Provide fractional compliance advisory to alternative investment firms and family offices: develop and implement compliance programs, Form ADV filings, policies, controls, training, regulatory exam readiness, risk assessments, remediation, and ad-hoc projects.

Lead regional Internal Control Compliance (ICC) and MCS programs: set annual priorities and plans, manage budgets and a global team, ensure audit quality and compliance, guide remediation, advise on controls for projects (including M&A), build capabilities, and drive process and productivity improvements.

Lead SOX risk assessment and control design/testing for assigned financial processes. Mentor SOX specialists, coordinate with finance, IT, and auditors, evaluate project impacts on controls, drive remediation, maintain SOX records in BWise, and report metrics to leadership while ensuring compliance with accounting and auditing standards.

Conduct compliance reviews, assess regulatory impact of products, prepare examination/audit documentation, support risk management, update policies/forms/disclosures, assist with training and regulatory change assessment, and interact with internal stakeholders to resolve compliance findings.

Manage 1–6 concurrent contract compliance engagements including planning, execution, client communication, and review of associate workpapers. Supervise and mentor staff, apply audit and internal control frameworks (COSO, IIA, SOX), and adapt to client industries to deliver contract, vendor, licensing, royalty, and construction audits.

Perform sales and use tax compliance including preparing and e-filing returns (Fuel, Sales, Use, WA B&O, regulatory fees); ensure federal/state/local tax compliance; respond to jurisdictional notices and inquiries; maintain tax setups in PDI; prepare month-end tax accruals, deferrals, journal entries and reconciliations; support state reporting (Low Carbon Fuel Standard); communicate with agencies and auditors; drive process improvements and support cross-divisional interaction.

Manage accounts receivable governance, onboarding, credit administration, invoice auditing, and dispute resolution. Support AR/ERP systems, develop SOPs, handle high-risk accounts, credit reviews, and ensure billing accuracy across cross-functional teams.

Perform premium and tax reconciliations between systems, prepare premium tax reports, review premium contracts for regulatory compliance, process and record tax payments, communicate with staff and state agencies, and provide backup accounting support.

Lead and enhance the firms compliance program for SEC, FINRA, and broker-dealer requirements. Oversee communications supervision, regulatory examinations, onboarding/offboarding, annual testing, marketing approvals, records retention, AI governance, compliance training, vendor/tool administration, internal audits, and firm-wide risk assessment. Coordinate with Legal, Finance, Investor Relations, IT, and senior leadership and prepare filings and evidence to maintain regulatory readiness.

Manage state notice filings for mutual funds and investment products: prepare renewals and amendments, respond to state correspondence, maintain fund files and BSS records, liaise with state examiners, ensure timely, complete electronic submissions, and support department policy updates.

Lead development and operationalization of compliance framework for a new investment advisory offering. Own testing, surveillance, audits, risk assessments, regulatory responses, and policy implementation. Partner cross-functionally to build workflows, books-and-records controls, information barriers, and conflict-of-interest safeguards while promoting a fiduciary, client-first compliance culture pre-launch and post-launch.

Investigate transaction and merchant monitoring alerts to identify fraud, money laundering, sanctions, and other payment-related risks. Conduct due diligence using internal systems and public sources, document audit-ready case findings, escalate and recommend remediation, support SAR narratives, and partner with internal teams to manage portfolio and client-level risk.

Lead SOX 404/302 compliance and internal controls activities, perform pre/post system implementation reviews, manage Entity Level Controls assessments, liaise with external auditors, draft findings and reports, and present control status to senior management.

Support and enhance the firm's compliance program for a multi-manager hedge fund platform. Perform trade, e-communications, and personal account surveillance; assist with regulatory filings (Form ADV, PF, D, 13F, etc.); support Regulation M and deal-related compliance; conduct pre/post-trade checks and manager due diligence; maintain policies, training, incident investigations, and internal controls.

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.

Support the Compliance Manager by maintaining compliance records, auditing Title 31/ICS requirements, preparing CTRs/SARCs, coordinating internal/external audits, tracing reportable transactions, monitoring sensitive keys, and preparing quarterly compliance reports.