Top Compliance Jobs

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.

Owns end-to-end billing compliance for client guidelines, including billing-system rules, eBilling onboarding, matter plans, cost constraints, deadlines, invoice requirements, reporting, training, and process improvements. Reviews outside counsel guidelines, coordinates with pricing, eBilling, billing, attorneys, and client account teams, resolves escalations, maintains compliance records, and exercises independent judgment on financial and client relationship matters.

Administers federal, state, and local payroll tax compliance across multiple U.S. jurisdictions and entities. Responsibilities include preparing and filing tax returns, reconciling liabilities and general ledger accounts, maintaining registrations, resolving agency notices, managing year-end reporting, monitoring regulatory changes, supporting audits, improving payroll processes, and participating in system implementations. The role serves as the payroll tax subject matter expert and partners with Payroll, Finance, HR, and external agencies.

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.

Maintains and audits shareholder accounts for compliance with state and federal regulations. Responsibilities include tax form production, IRS e-filing, B- and C-Notice processing, levies, escheatment, ownership reporting, returned mail, account research, and regulatory submissions. The role requires careful coordination, regulatory knowledge, client and vendor communication, prioritization, and attention to detail within mutual fund or financial services operations.

Assists the Compliance Officer with monitoring and testing consumer protection and banking regulations. Maintains compliance policies and procedures, supports regulatory examinations and audits, develops employee training, communicates findings to management, and contributes to regulatory risk mitigation. The role requires knowledge of banking compliance laws, ACH and PCI compliance, strong analytical and organizational abilities, and proficiency with Microsoft Office.

Lead risk-based compliance reviews, surveillance, and monitoring initiatives for investment management businesses. Responsibilities include planning and executing testing, evaluating controls, documenting workpapers, preparing reports for senior management and fund boards, validating remediation plans, analyzing compliance alerts, partnering on data-enabled monitoring solutions, and assessing regulatory developments and emerging risks.

Leads Acrisure’s U.S. enterprise compliance program across insurance and financial services businesses. Responsibilities include developing policies, monitoring regulatory changes, assessing compliance risks, conducting reviews and testing, coordinating regulatory inquiries and examinations, delivering training, preparing executive and Board reporting, and developing compliance dashboards. The role partners with Legal, Risk, HR, Internal Audit, Finance, IT, and business leaders to mitigate regulatory exposure and maintain effective compliance controls.

Leads U.S. federal and state corporate and partnership tax compliance, including Forms 1120 and 1065, K-1 reporting, estimated payments, tax provisions under ASC 740, forecasting, and tax analyses. Manages tax data, software, audits, notices, and compliance obligations while partnering with Accounting, FP&A, auditors, and tax advisors. Supports tax planning, acquisitions, restructurings, and process improvements in a multi-entity environment.

Leads government compliance and contract audit functions, serving as liaison with DCAA and DCMA. Interprets FAR, DFARS, and CAS requirements; oversees audits, internal controls, financial reviews, incurred cost submissions, forward pricing proposals, and compliance training. Advises business units on CAS disclosure statements, government accounting, property, and related policies while identifying risks and improving procedures.

Leads and builds CoreWeave’s global enterprise risk and compliance function, including ERM frameworks, risk assessments, KRIs, risk appetite, governance, assurance coordination, compliance tracking, and Board and Audit Committee reporting. The role develops a risk team, partners across Security, Legal, Finance, IT, and Operations, and establishes scalable processes for a high-growth AI infrastructure company.

Supports Carvana’s Compliance Management System by analyzing laws, regulations, licensing requirements, business processes, and compliance risks. Responsibilities include maintaining training and policies, conducting assessments and audits, investigating issues, documenting decisions, implementing controls, supporting remediation, improving processes, and communicating guidance to legal and business stakeholders.

Manage first-line operational risk and compliance for Retail and Reverse Mortgage businesses. Responsibilities include risk and control assessments, control testing, regulatory change support, incident investigation, root-cause analysis, remediation, risk monitoring, governance reporting, business continuity, operational resilience, and risk capability development. The role partners with business leaders and stakeholders across financial services functions to embed effective risk practices and provide constructive challenge.

Owns corporate tax compliance and financial services compliance operations, including filings, tax provision support, controls, audit readiness, issue remediation, and external advisor coordination. The role translates regulatory requirements into policies and workflows, partners with Legal, Finance, Product, and Engineering, trains teams, and uses automation to improve compliance processes while maintaining review quality.

Supports compliance monitoring and regulatory reporting for a futures brokerage under CFTC and NFA oversight. Responsibilities include maintaining reporting and recordkeeping registers, preparing filings, assisting with AML risk profiling and transaction monitoring, reviewing marketing materials, documenting procedures, supporting staff training and NFA exam readiness, and coordinating compliance processes with internal teams.

Supports tribal grant project directors and administrators with grant startup, closeout, compliance reviews, expenditure monitoring, reporting, documentation, and budget oversight. Maintains compliance logs and grant records, verifies adherence to federal guidelines and 2 CFR 200 Uniform Guidance, assists with quarterly checkpoint reports, provides training, and coordinates with accounting, budget offices, and federal program staff.

Leads Raymond James’s enterprise policy governance program, including policy drafting, stakeholder review, regulatory alignment, committee and board approvals, publication, exception reporting, corrective actions, and compliance training. Conducts gap analyses, researches regulatory developments, monitors audits and correspondence, recommends policy improvements, and supports automation and operational efficiency. Partners with senior stakeholders, business units, regulatory agencies, and compliance teams while mentoring associates and managing complex projects.

Investigate client accounts and transactions for money laundering, terrorist financing, and other financial crime risks. Analyze transaction data and client profiles, identify anomalies and red flags, prepare investigative case files and reports, collaborate with stakeholders on escalations, document monitoring activity, and stay current on AML/CFT regulations and emerging financial crime trends.

Analyzes regulatory transaction data and CAT reporting to identify errors, determine root causes, and recommend remediation. The role develops surveillance and compliance controls, automates CAT feedback processes, researches regulations, investigates reporting issues, supports regulatory examinations, and collaborates with developers and management. Candidates need strong analytical, investigative, communication, and problem-solving skills, along with familiarity with programming, SQL, UNIX, Excel, and financial regulatory systems.

Investigate client accounts and transactions for money laundering, terrorist financing, and other financial crime risks. Analyze transaction patterns, identify anomalies and red flags, prepare investigative case files and narratives, collaborate with internal stakeholders, document activity, and maintain knowledge of AML/CFT regulations and emerging typologies.

Conduct enhanced due diligence and AML compliance reviews for correspondent foreign financial institution accounts. Responsibilities include reviewing KYC profiles and transactions, performing negative-news and public-domain research, preparing risk assessments, investigating and escalating issues, coordinating documentation and deadlines, supporting procedures and training, and serving as the CAFFI subject matter expert.

Oversee compliance for Consolidated Audit Trail reporting systems by reviewing regulatory data, investigating errors, identifying root causes, performing UNIX-based corrections, developing surveillance and controls, automating CAT feedback processes, coordinating remediation, and supporting regulatory examinations. The role requires data analysis, regulatory interpretation, technical system understanding, and communication with developers and management.

Nine- to ten-week summer internship in Global Compliance. The analyst will receive training, learn the firm’s culture, and support compliance activities involving regulatory monitoring, policy and procedure implementation, audits, inquiries, education, surveillance, testing, and risk management infrastructure.

Supports financial crime compliance through AML transaction-monitoring implementation, model tuning, data analysis, validation, investigations, and control testing. Develops AML analytics using statistical measures and machine-learning algorithms, helps integrate AI into surveillance models, documents requirements and project artifacts, and prepares testing reports and corrective action plans. Collaborates with technology, operations, and business teams while managing data mapping, regulatory documentation, and workflow execution.

Directs regulatory compliance engagements for private fund and investment clients. Responsibilities include analyzing compliance issues, developing and testing compliance programs, managing regulatory filings and policy updates, leading client training and mock examinations, supporting SEC and FINRA exams, monitoring regulatory changes, advising on internal controls, mentoring staff, and supporting business development.