Top Compliance Jobs

Leads SOX and ICFR workstreams, including risk assessments, walkthroughs, control testing, documentation, issue management, remediation, and audit coordination. Partners with control owners, Finance, Technology, and internal and external auditors to deliver audit-ready workpapers and timely reporting. Provides guidance and quality oversight to junior team members while supporting process improvement, control rationalization, and program execution.

Ten-week risk and compliance internship supporting business initiatives, strategic presentations, research, project coordination, market intelligence, and cross-functional collaboration. Participants receive structured training, mentorship, executive exposure, and networking opportunities while exploring financial services functions. Candidates must be enrolled in a degree program graduating between May 2028 and June 2029, maintain a minimum 3.0 GPA, and be authorized to work in the United States without current or future visa sponsorship.

Provides commercially focused compliance advice across banking operations, regulatory requirements, risk management, conflicts of interest, privacy, market abuse, and conduct. Partners with stakeholders to embed controls, manage breaches, support audits, update policies, monitor regulatory developments, deliver training, and contribute to management and Board reporting.

Leads financial compliance and risk mitigation for Supply Chain Finance. Responsibilities include reviewing payment-term exceptions, supplier credit risk, inventory and government property compliance, material inflation exposure, supplier claims, and audit support. The role prepares compliance reports, improves documentation and processes, supports data governance, and collaborates with Supply Chain, Accounting, Finance, Procurement, and Legal teams. It requires strong analytical skills, financial controls experience, and familiarity with defense-industry compliance requirements.

Manages portfolio-wide Housing Assistance Payment posting, reconciliation, ledger corrections, voucher coordination, variance resolution, and subsidy receivables reporting across HUD-subsidized properties. The role supports month-end close, audits, MORs, property onboarding, process standardization, and staff training while coordinating with compliance, accounting, site teams, Contract Administrators, and PHAs.

Directs financial aid operations, staff, compliance, technology, budgeting, reporting, audits, and student counseling. Monitors Title IV and state regulations, updates policies and procedures, oversees aid packaging and disbursement, resolves data and system issues, and develops quality controls. Leads staff training, performance management, audit responses, default prevention, and departmental improvement initiatives while ensuring accurate, timely, and compliant delivery of federal, state, and institutional financial aid.

Lead regulatory compliance for Fidelity Digital Assets by advising on banking laws, assessing regulatory risks, maintaining compliance frameworks, coordinating examinations, managing regulatory requests and remediation, and preparing executive and board reporting. The role partners with Legal, Risk, Operations, business teams, and regulators while supporting digital asset, custody, payments, blockchain, and emerging financial technology initiatives.

Support the Chief Compliance Officer for DTCC’s North American trade repository by managing derivatives compliance, regulatory reporting, filings, controls, policies, monitoring, testing, annual reports, regulatory findings, and board materials. Coordinate with Compliance, Legal, Audit, Risk, and business teams; assess regulatory changes; and develop governed automation and AI-enabled improvements to compliance processes.

Leads financial compliance for the Medical Division, overseeing technical accounting, US GAAP, SOX controls, policies, audits, financial reporting, and complex transaction guidance. Partners with finance, audit, and business leaders to identify risks, remediate deficiencies, standardize processes, and implement accounting guidance. Manages quarter-end compliance and balance sheet reviews, maintains compliance documentation, and develops the financial compliance team.

Develop and implement a risk-based U.S. compliance program, including regulatory monitoring, risk assessments, controls, financial crime initiatives, whistleblowing, conflicts of interest, training, and regulatory change management. Advise U.S. leadership, support regulatory examinations, oversee compliance reporting, and partner with global Compliance, Legal, Risk, Audit, and business teams to promote ethical conduct and manage regulatory risk.

Leads financial compliance for the Medical Division, overseeing technical accounting, US GAAP, SOX controls, audits, financial policies, reporting, and complex transactions. Partners with corporate and divisional stakeholders to assess risks, resolve control deficiencies, implement accounting guidance, standardize processes, and improve reporting accuracy. Manages quarter-end compliance and documentation while developing the financial compliance team and supporting strategic business initiatives.

Supports post-award financial compliance for sponsored research by monitoring awards, analyzing financial data, conducting reconciliations, coordinating audits and closeouts, identifying risks, and preparing reports. The role automates compliance analysis using advanced Excel and Python, provides advisory guidance and training, and recommends process improvements to strengthen internal controls and resolve financial issues.

Compliance Associate responsible for onboarding insurance brokers, assisting with surplus lines tax filings, completing compliance forms and affidavits, entering event risk data, monitoring aggregation reports, and supporting compliance projects. The role requires accurate data entry, strong organization and communication, confidentiality, analytical ability, Microsoft Office proficiency, and the ability to manage multiple tasks independently and collaboratively.

Performs and reviews defined contribution plan compliance testing and analysis, communicates results and regulatory issues to clients, and supports team oversight and coaching. Maintains client relationships, applies regulatory knowledge to solve complex testing issues, coordinates multiple assignments, and develops technical expertise in qualified retirement plan compliance, nondiscrimination testing, recordkeeping databases, and related tools.

Supports investment operations by ensuring client and shareholder assets are invested accurately, timely, and in compliance with portfolio guidelines. Reviews funds and client accounts, manages cash-flow needs, partners with Legal and client guideline specialists, reduces risk, and improves operational efficiency. Participates in technology, automation, process engineering, and department-level projects while collaborating with portfolio specialists and technology professionals.

Lead and manage the firms compliance programs including Code of Ethics, AML/KYC review, trade surveillance, marketing review, policy and training development, vendor and technology oversight, regulatory filings, and integration of AI and automation to improve compliance efficiency.

Provides second-line compliance oversight for enterprise fraud and dispute processes. Responsibilities include interpreting federal banking regulations, conducting monitoring, risk assessments, transaction testing, gap analyses, and remediation verification; advising business lines; reviewing controls; developing policies and training; and supporting risk-mitigation projects. The role requires strong knowledge of banking fraud and customer disputes, regulatory research, risk assessment, communication, and analytical skills.

Supervises SOX/MAR compliance activities, including risk assessments, process documentation, control design, control testing, deficiency reporting, remediation evaluation, and regulatory reporting. Leads staff, assigns work, conducts performance evaluations, and coordinates with process owners, auditors, management, and executive committees. Oversees company-wide risk assessments and mapping of financial statement line items to applicable processes and controls.

Supports the U.S. BSA/AML and sanctions compliance program through transaction monitoring, investigations, SAR drafting, KYC/KYB and CDD/EDD reviews, regulatory filings, policy updates, examinations, and workflow improvements. The role partners with Compliance, Operations, Product, and Commercial teams while monitoring U.S. financial crime and digital-asset risks.

Supports compliance governance, risk assessment, audit and exam readiness, dashboard governance, reporting, monitoring, quality assurance, and process improvement. The role coordinates stakeholder engagements, tracks remediation activities, maintains compliance documentation, analyzes data, and communicates risk insights to leadership. It also advocates for AI-enabled workflows using Google tools and collaborates on strategic initiatives across the organization.

Monitors client accounts and financial advisor activity for compliance with FINRA, SEC, and firm policies. Conducts trade surveillance, investigates suspicious activity, evaluates exceptions, recommends corrective actions, and develops prevention controls. Advises branch and home office staff, collaborates with compliance personnel, supports surveillance tools and reporting, drafts compliance communications, and provides regulatory expertise and updates to management.

Monitors merchant compliance with card network rules, regulatory requirements, and internal policies. Manages Visa and Mastercard violation responses, remediation plans, representment strategies, KYC/KYB reviews, MATCH alerts, website investigations, audit support, documentation, and policy updates. Requires payments compliance experience, knowledge of card brand programs, PCI DSS, AML/BSA, OFAC, and strong analytical and investigative skills.

Directs commercial credit services, collections, account releases, delinquency management, credit memos, sales tax compliance, legal agency referrals, month-end credit closing, and retailer account resolution. Advises executives and sales leaders on credit laws, reserves, account risks, and compliance. Oversees staffing, department efficiency, financial statement analysis, reporting, and collaboration with major retailers and internal stakeholders.

Manages and reconciles more than 150 federally funded and other sponsored-project accounts using Workday and BA4 Priority. Reviews transactions for accuracy, documentation, business purpose, allocability, and compliance; maintains encumbrances; investigates unexpected charges; processes corrections; and prepares monthly reports for faculty and principal investigators. The role also supports account oversight, compliance controls, procedure improvements, and communication regarding funding levels and account expirations.

Support regulatory compliance advisory activities, including risk assessments, monitoring and control testing, policy reviews, management reporting, regulatory change implementation, horizon scanning, and governance documentation. The role requires collaboration with stakeholders, regulators, audit teams, and senior management while identifying compliance gaps and supporting remediation in a regulated financial-services environment.