Top Compliance Jobs

Owns day-to-day corporate tax operations, compliance calendars, multistate indirect tax filings, nexus analysis, tax controls, income tax coordination, international tax matters, notices, examinations, and ancillary reporting. Partners with internal teams and external advisors to assess tax impacts of products, channels, pricing, and cross-border activities. Maintains tax infrastructure, reconciliations, registrations, documentation, and process improvements while supporting legal entity, transfer pricing, acquisition, R&D credit, and other tax projects.

Supports the firm’s regulatory compliance program by monitoring compliance activities, maintaining regulatory calendars, reviewing account and marketing documentation, assisting with audits and examinations, conducting vendor due diligence, administering Code of Ethics processes, tracking regulatory developments, and advising employees on compliance matters. The role also contributes to process improvements and special compliance initiatives.

Leads financial crime compliance business analysis across AML, KYC, transaction monitoring, sanctions screening, investigations, and regulatory reporting. Facilitates discovery, documents requirements, maps banking data, translates regulations into monitoring rules, evaluates vendor platforms, and manages UAT. Partners with compliance stakeholders, architects, developers, data engineers, and QA teams to support modernization initiatives, resolve functional questions, manage scope, and ensure effective alert generation with controlled false positives.

Leads enterprise-wide compliance and operational risk management for a credit union. Responsibilities include regulatory monitoring, compliance testing, internal controls, operational risk assessments, third-party risk management, audit and examination support, policy development, corrective action tracking, reporting, training, and legal coordination. The role advises business units and senior leadership, supports governance committees, manages compliance and risk staff, and promotes regulatory adherence, operational resilience, and member protection.

Leads compliance operations, testing, quality assurance, branch audits, regulatory monitoring, examination readiness, and corrective-action validation for a mortgage lender. Oversees compliance metrics, testing methodologies, standard procedures, reporting, audit responses, and regulatory risk mitigation. Partners with Legal, Technology, and business leaders to strengthen controls while managing and developing domestic and offshore teams.

Investigate and escalate AML/CFT alerts and cases, review customer KYC and transactions, determine SAR vs Non‑SAR filings, complete SAR documentation, collaborate with stakeholders, and maintain compliance with BSA/AML and related regulations while staying current on emerging risks and novel banking services.

The Senior Compliance Manager will build and scale a consumer-lending compliance program. Responsibilities include advising product development, partnering with Legal and bank partners, designing automated compliance workflows, creating dashboards and reporting, managing complaints and remediation, tracking issues, and delivering compliance training. The role requires expertise in consumer protection regulations, fintech or financial-services compliance, data-driven risk management, and cross-functional influence.

Supports the Compliance/BSA Officer with Bank Secrecy Act, anti-money laundering, OFAC, and regulatory compliance activities. Reviews new accounts, customer due diligence, beneficial ownership, transaction-monitoring alerts, high-risk customers, unusual activity referrals, CTRs, Reg CC holds, and compliance exceptions. Performs regulatory research, documentation, testing, data validation, quality control, and corrective-action tracking while escalating potential concerns and maintaining accurate records.

Advises Fidelity Digital Assets on product launches, trading, finance, Regulation W, and international expansion. Builds compliance governance frameworks, controls, policies, and remediation plans; monitors product risks; supports AML investigations, regulatory inquiries, and governance committees; and delivers compliance training. Partners with Product, Legal, Risk, Operations, Audit, and global compliance teams to ensure digital asset offerings meet regulatory expectations.

Manages external and internal audits, compliance reviews, internal controls, risk assessments, financial reporting support, and tax-related documentation. The role evaluates control effectiveness, tracks remediation, coordinates auditors and regulatory inquiries, reviews accounting records, and develops compliance policies. It also supervises and mentors accounting and compliance staff while supporting process improvements, system implementations, and special projects.

Manage end-to-end KYC and KYB onboarding for institutional clients, corporate entities, funds, trusts, and HNWIs. Conduct enhanced due diligence, assess regulatory and financial crime risks, investigate anomalies, and escalate concerns. Maintain compliance with AML, CFT, sanctions, privacy, and global regulatory requirements. Collaborate with sales and relationship teams, optimize onboarding workflows, support audits, maintain accurate records, track metrics, and assist with analyst training and policy updates.

The Payments Compliance Analyst evaluates fraud concerns, resolves account validation exceptions, performs bank and internal reconciliations, and coordinates payment issues with banking partners and customers. The role supports transaction processing, payment transfers, fee sweeping, reporting, risk mitigation, and process improvements. It requires strong attention to detail, communication, discretion with PII, Excel proficiency, and flexibility for occasional evening or weekend work.

Provides senior financial management and CFO Act compliance support across DoD Special Access Program portfolios. Responsibilities include SAP financial oversight, PPBE process improvement, acquisition compliance, budget and program data analysis, knowledge management, leadership reporting, and training. Requires extensive DoD financial statement, audit, compliance, and project management experience, along with an active TS/SCI clearance and SAP eligibility.

Evaluates trades against client guidelines, offering memorandums, and regulations; monitors portfolio compliance alerts; supports portfolio rebalancing; configures client restrictions in compliance systems; and leads workflow automation and technology-enhancement initiatives. The role collaborates with portfolio management, investment services, legal, regulatory compliance, and client teams, supports new investment strategies and regulatory changes, and oversees junior team members.

Performs internal audits and special projects across RTX aerospace businesses, evaluates internal control design and effectiveness, and assesses USG compliance risks. The role develops expertise in government contracting, accounting, FAR, DFARS, CAS, estimating, program finance, and USG contracting while collaborating with business leadership to recommend improvements and support audit initiatives. Domestic travel of approximately 20–30% may be required.

Manages payroll compliance programs, internal controls, audits, regulatory monitoring, and risk mitigation across multi-state operations. Serves as the UKG Pro and UKG Workforce Management subject-matter expert, reviewing configurations, controls, reporting, system changes, and payroll anomalies. Uses AI and analytics to improve audits, identify exceptions, document compliance activities, and enhance operational efficiency while partnering with Legal, HR, Finance, Tax, Benefits, Operations, and Internal Audit.

Supports enterprise regulatory compliance testing governance, methodology, quality assurance, annual planning, issue management, reporting, analytics, training, and continuous improvement. Performs quality reviews, analyzes testing and risk data, develops dashboards and executive presentations, monitors regulatory trends, supports examinations, and recommends enhancements. Requires strong analytical, communication, stakeholder management, and problem-solving skills within a dynamic regulatory environment.

Oversee complex insurance compliance for commercial loan portfolios, reviewing coverage, assessing risk, remediating deficiencies, and ensuring investor and servicing requirements are met. Perform quality assurance, manage vendors, coordinate workloads, support audits, and prepare waiver or exception requests. Serve as a subject matter expert on investor guidelines, mentor junior staff, improve processes, and contribute to strategic initiatives while protecting lender collateral.

Owns company travel and expense compliance, including government per diem and lodging requirements, Ramp policy administration, expense reviews, and employee guidance. Supports FP&A through budgeting, forecasting, variance and trend analysis, financial reporting, planning tools, and process improvements. Partners with finance, accounting, operations, and program management to strengthen controls, forecasting accuracy, and business visibility.

Supports mutual fund, investment adviser, and SEC-registered insurance product compliance. Responsibilities include preparing regulatory filings, analyzing investment adviser requirements, developing fund and adviser board materials, and supporting variable annuity, registered index-linked annuity, and variable life products. The role requires strong attention to detail, proofreading, organization, deadline management, and collaboration with legal, compliance, investment, and product teams.

Supports the broker-dealer compliance program through FINRA registrations and filings, employee compliance and personal trading reviews, communications surveillance, marketing compliance, compliance system administration, branch examinations, policy testing, due diligence, and regulatory initiatives. The role provides guidance across the organization and helps enhance compliance policies and procedures in response to evolving business and regulatory requirements.

Provides compliance oversight, regulatory advice, effective challenge, and risk management for US Digital and Consumer Banking. The role monitors testing, issues, complaints, controls, and regulatory changes; advises business leaders; reviews new initiatives and AI-related risks; maps regulations to controls; and supports risk assessments, audits, exams, executive presentations, and remediation. The manager serves as a subject matter expert on consumer banking regulations and leads cross-functional efforts to strengthen compliance programs.

Conducts risk-based compliance monitoring, audits, regulatory report validation, and corrective action oversight. Evaluates operational compliance, identifies deficiencies, tracks remediation, validates corrective actions, and supports internal and external audits. Maintains compliance reporting, dashboards, governance materials, and regulatory system activities, including HPMS support. Analyzes trends and risks for Compliance Committee, senior leadership, and Board reporting while improving compliance tools, processes, and controls.

Coordinates internal and external audit activities, regulatory submissions, compliance reporting, documentation, deadlines, findings remediation, and governance tracking. Maintains compliance operations records, dashboards, and reporting mechanisms while supporting regulatory systems and coordinating reviews with business areas.

Executes SOX compliance planning, scoping, control assessments, risk evaluations, SOC reviews, deficiency remediation, certifications, and reporting. Partners with control owners, auditors, risk management, and business leaders to maintain effective internal controls over financial reporting. Coordinates user access reviews, ERM and fraud-related assessments, accounting business continuity planning, training, policies, and quarterly SOX committee activities.