Top Compliance Jobs

The analyst will research filing requirements, prepare and monitor P&C rate filings, communicate revisions, support compliance operations, and monitor regulations pertinent to assigned products.

The Treasury Risk and Compliance Associate will support the Compliance Director by designing controls, managing risk matrices, reviewing policies, and collaborating with cross-functional teams.

The Compliance Manager oversees the Compliance Management Program, ensures adherence to regulations, conducts risk assessments, and provides strategic compliance guidance to various business units.

Conduct AML/financial crime investigations by analyzing client accounts and transactions, identifying red flags, preparing case files and investigative reports, collaborating with stakeholders, and ensuring compliance with AML/CFT regulations and internal policies.

The Grant Compliance Specialist assists with grant financial reporting, compliance monitoring, audit preparations, and budget tracking to support YouthCare's funding portfolio.

Oversee SOX compliance, risk management, and audit project management, ensuring internal controls are effective and maintain compliance with US GAAP.

The Enterprise Compliance and Operational Risk Analyst supports risk management by implementing frameworks, conducting assessments, reporting, and collaborating cross-functionally to mitigate risks.

Manage the compliance risk program for mortgage lending by developing policies, ensuring adherence to laws, and conducting risk assessments.

The Audit Compliance Manager I oversees and conducts audits, ensuring compliance with standards while providing insights for operational improvements. They lead projects, communicate findings, and manage stakeholder relationships, focusing on internal controls and risk assessments.

The Audit Manager oversees audits, ensures compliance with standards, manages communication with stakeholders, and provides subject matter expertise.

The Director of Financial Crimes Compliance leads data strategy and governance, ensuring data quality and compliance within GFCC operations. Responsibilities include driving transformation initiatives, managing data governance policies, and collaborating with various stakeholders to enhance data capabilities and efficiency through automation.

The Director oversees the Customer Risk Rating program, enhancing risk assessments, managing stakeholder engagement, and leading a team to ensure compliance with financial crimes regulations.

The Compliance Manager will advise on compliance risks, conduct assessments, monitor activities, and address regulatory obligations related to fraud and internal conduct.

The Compliance Manager will operationalize Aspen's RIA compliance standards into scalable workflows and systems while supporting regulatory requirements and enhancing compliance technology usage.

The AFC Manager oversees Anti-Financial Crime operations, ensuring compliance with laws, training staff, and implementing internal controls. They also liaise with regulatory authorities.

The Treasury & Compliance Manager ensures accurate execution of capital movements and regulatory compliance across funds, overseeing cash operations, regulatory filings, and risk management processes.

The Manager of Financial Reporting & Compliance will lead external financial reporting and internal compliance reviews, improve operational effectiveness, ensure policy adherence, integrate acquisitions, and mitigate risks while fostering a proactive risk-aware culture.

The Senior Manager will oversee U.S. income tax compliance, engage with external advisors, assist in tax modeling, and improve processes while collaborating with various stakeholders.

The Senior Compliance Auditor plans and executes compliance audits, assesses risks, prepares detailed reports, and collaborates with various departments to ensure adherence to compliance policies and legal requirements.

Support Global Compliance Testing by governing testing activities, enhancing testing methodology, and coordinating with stakeholders on financial crimes compliance and core compliance processes.

As a Senior Regional Compliance Associate, you'll ensure compliance for financial advisors, conduct audits, support regulatory examinations, and provide training on compliance-related matters.

The Chief Compliance Officer leads the compliance risk management program, ensuring adherence to laws and regulations, overseeing audits, and leading the compliance team.

The Director will oversee compliance programs for investment advisers, manage client accounts, guide teams, and ensure adherence to SEC regulations.

The Associate Director of Investment Advisor Compliance supports compliance programs for investment advisers, oversees regulatory filings, manages client relationships, and conducts compliance training and testing.

As a Compliance Analyst, you will assist in various compliance tasks, AML monitoring, resolving CIP issues, and identifying compliance risks.