Top Compliance Jobs

The Compliance Analyst supports the Compliance Program by analyzing compliance risks, assists in monitoring and testing, and ensures adherence to laws and regulations.

Prepare and file state and federal royalties and tax payments, ensure regulatory compliance, reconcile balance sheet accounts monthly, support audits and inquiries, improve processes, and train junior staff while maintaining relationships with state agencies.

Design, implement, and optimize AI-powered solutions to support financial compliance and controls. Monitor GAAP/IFRS adherence, automate controls and reporting, support internal/external audits, and manage complex accounting areas like revenue recognition and lease accounting while collaborating with finance, audit, and technology teams.

Lead and develop a team responsible for pre- and post-trade portfolio compliance monitoring, interpreting investment guidelines, managing breaches, and supporting board reporting and regulatory exams. Advise on product launches and onboarding, enhance compliance systems and data quality, drive process improvements, and train investment teams and trading desks.

Lead SOX 404 compliance program and accounting policy governance. Manage control design, documentation, remediation, reporting, liaison with external auditors, and cross-functional alignment. Build and lead a compliance and accounting policy team while ensuring policies align with US GAAP and regulatory requirements.

Own lifecycle management of multi-state mortgage and consumer lending licenses, lead state regulatory exam responses and remediation, prepare and submit required state filings and Mortgage Call Reports, coordinate cross-functional data reconciliation for regulatory reporting, and manage licensing and corporate notifications.

Design, evaluate, and monitor internal controls and SOX compliance; advise business on audit and financial compliance; identify control gaps and drive remediation; maintain process documentation; support external auditors and partner with Finance, Legal, IT, and operations to improve controls and ensure GAAP compliance.

Review retail advertising and marketing communications for compliance with firm policy, FINRA and SEC rules; document and retain records; explain required changes to submitters; research policy questions; maintain internal compliance materials; follow vendor workflows; assist team members and meet service-level timeframes.

The Director of Tax Compliance oversees management company tax compliance, including tax provisions and filings, ensures quality delivery, and manages external advisors while collaborating with multiple departments on tax implications.

Perform quality testing of AML, Screening, EDD, and Anti-Corruption investigations; evaluate alerts against regulatory and procedural requirements; draft reports summarizing findings; manage projects to enhance QA processes and technology; identify trends and recommend procedural efficiencies while collaborating with GFCC leaders.

The Compliance Officer will support compliance functions, assist with regulatory filings, policies, trade reviews, and collaborate with stakeholders and initiatives in the Americas.

The Risk Strategist will develop risk-based frameworks, manage relationships with stakeholders, ensure compliance in product development, and analyze data to inform strategies in financial services.

The Audit Manager I will lead audit engagements, oversee audit processes, mentor staff auditors, and enhance risk management. They ensure audits align with regulatory guidelines and maintain communication with management regarding audit status and findings.

The SEC Reporting, SOX & ESG Compliance Manager prepares SEC filings, manages SOX compliance, and coordinates ESG reporting, collaborating across functions for process improvement.

The Fintech Compliance Lead will enhance the compliance program, lead fintech partnerships, evaluate risks, advise stakeholders, and support audits and training.

The SBA Portfolio Manager manages the SBA loan portfolio, ensuring compliance, evaluating servicing requests, and maintaining relationships with bankers. Responsibilities include risk management, documentation, and assisting with audits.

Lead and manage internal audit projects, ensure SOX compliance, assess internal controls, conduct audits, and mentor team members.

Review marketing materials for compliance with FINRA and SEC rules, draft disclosures, submit materials to FINRA, and advise advisers on marketing issues.

The Analyst supports risk management by monitoring compliance, conducting risk assessments, developing metrics, and collaborating with business units to mitigate risks.

The Sr. Compliance Associate, Sanctions is responsible for managing sanctions regulatory reporting, driving automation, collaborating with regional officers, and ensuring compliance with OFAC regulations.

As a Crypto Compliance Lead, you will guide product teams on regulatory requirements and support compliance reviews for crypto products. Responsibilities include advising during the product lifecycle, reviewing features and communications, and conducting regulatory examinations.

The Lead Compliance Auditor will perform complex audits, mentor team members, and innovate auditing methods while ensuring compliance with regulations.

The Governance Risk Compliance Analyst ensures compliance with regulatory requirements by conducting reviews, analyzing processes, maintaining documentation, and supporting governance activities within Wealth Management Risk Control.

The Compliance Risk Manager is responsible for managing compliance risk assessment processes, leading risk assessment activities, producing reports, and ensuring adherence to regulations. Additionally, the role involves data analysis, risk monitoring, and collaboration with various business lines.

The Chief Compliance Officer will drive operational excellence and oversee regulatory compliance while managing investment operations and financial oversight.