Top Compliance Jobs

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.

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.

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.

Provide accounting, insurance, due diligence, and corporate administration support including audit schedules, regulatory filings, insurance claims, invoice processing, investor reporting, compliance tracking, tax and fixed asset support, office/vendor management, and cross-functional project assistance.

Supervise daily tax compliance, reporting, and billing across multiple tax types; coach and manage a team; monitor workloads and metrics; ensure timely, accurate filings and billing; analyze trends, resolve exceptions, maintain SOPs, support audits, and implement process improvements.

Monitor and assess internal compliance controls, review and update policies, conduct periodic branch and lending/deposit reviews, manage compliance training, ensure regulatory adherence (BSA/AML/OFAC, HMDA, TISA), and support cross-department compliance inquiries.

Lead internal audit engagements assessing controls, BSA/AML and financial crime risks, and corporate legal functions. Identify risks, evaluate controls, recommend improvements, manage remediation follow-up, and supervise junior staff while presenting findings to senior leadership.

Prepare and review income tax returns (e.g., 1120, 1065, 5471, 8865), compute tax provisions under US GAAP, support tax planning and audits, liaise with external preparers, and improve tax data gathering and reporting using technology solutions across Tax, Finance, Controllers, Engineering and Operations.

Lead internal audit and compliance reviews across firm businesses; assess risks and controls, audit BSA/AML and financial crime programs, advise management on control improvements, oversee remediation and supervise junior staff.

Lead governance and risk-control initiatives for algorithmic and electronic trading across asset classes. Perform risk-based assessments of market access and algorithmic logic, advise business on regulatory requirements, implement controls, track review pipelines, monitor regulatory developments, coordinate regulatory responses, and deliver compliance training.

Lead and scale compliance for an RIA and Broker-Dealer: own policies, surveillance, product reviews, regulatory exams (SEC/FINRA), compliance training, and embed compliance into product and engineering to enable fast, safe growth.

Provide senior compliance advisory for equities sales and trading, focusing on cash/high-touch and electronic trading. Strengthen equities compliance program, advise on regulatory requirements, implement supervisory controls, conduct testing and risk assessments, lead investigations and regulatory responses, deliver training, and report to senior management while interacting with regulators and global teams.

Audit loans for compliance with federal, state, and investor requirements (TILA, RESPA, TRID, ECOA, etc.). Review third-party diligence findings, monitor remediation pipelines, assist with defect remediation and appeals, and communicate defects to internal and external stakeholders.

Lead and advise on regulatory compliance for mortgage products, conduct impact and risk assessments, monitor and test controls, perform RCSA/CCRA in the GRC platform, collaborate with business stakeholders, raise and remediate issues, and potentially hire/coach team members.

Lead and execute periodic compliance reviews, market conduct and trade/communication surveillance, investigations of complaints/fraud, draft and maintain policies, advise stakeholders, monitor conflicts, track and report open issues, and deliver training to ensure alignment with internal standards and external regulations.

Lead and execute the global compliance strategy for Wealth Management, ensuring regulatory adherence, conduct and financial-crime controls, policy and monitoring effectiveness, regulatory engagement, and integration with enterprise risk. Advise business and product teams on new initiatives, oversee exams/remediations and regulatory reporting, drive regulatory change management and training, and build a high-performing global compliance team with strong succession planning.

Support enterprise-wide financial crimes RCSAs by drafting and updating controls, coordinating and evaluating control testing, challenging 1st-line assessments, mapping issues to controls, preparing leadership reporting, assisting audit/regulatory requests, and supporting strategic projects and training to strengthen the GFCC control environment.

Serve as the Line of Business Compliance Officer for U.S. Corporate Card Programs, providing independent, second-line oversight. Assess compliance risk for products, features, marketing, disclosures, and digital journeys; support CRA, RCIM, KRIs, and RBST; identify and drive remediation of compliance issues; collaborate with Legal, Audit, Financial Crimes, Privacy and other stakeholders; assist with regulatory examinations and inquiries.

Lead and maintain the FCM and Introducing Brokers compliance program, ensure CFTC/CME rule adherence, manage regulatory exams and reporting, enhance surveillance and control frameworks, perform risk-based testing, advise business and tech teams, and deliver targeted compliance training.

The Associate Director will ensure compliance with sanctions and export controls, providing guidance, developing training, and managing the compliance program.