Top Compliance Jobs

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.

Lead BSA/AML operations and staff, ensure timely SAR/CTR/314/OFAC reporting, maintain QA and validation, develop procedures and playbooks, support regulatory exams, analyze trends and risks, and advise business units on financial crime mitigation.

Lead the bank's compliance and CRA programs, ensuring adherence to federal and state regulations (BSA/AML/OFAC, HMDA). Develop and maintain compliance and CRA plans, policies, training, risk assessments, and reports. Validate HMDA data, liaise with examiners and auditors, chair the Compliance/CRA committee, advise on residential and consumer legal matters, and oversee community outreach and CRA-qualified investments.

The Senior Compliance Officer will manage compliance for Invesco's Americas operations, oversee regulatory requirements, assist with internal and client reporting, and maintain compliance practices across account types.

Support Investment Compliance change initiatives by analyzing data and processes, documenting requirements, assisting testing (UAT), producing insights and reports (Excel/SQL/Power BI), and coordinating stakeholders to improve controls, workflows, and automation across global teams.

Provide post-award sponsored project financial compliance and analysis, lead audit and closeout efforts, monitor financial indicators and labor costs, automate reporting, produce reconciliations and ad hoc analyses, deliver training, and partner with campus and central stakeholders to mitigate risk and improve processes.

Lead labor-related post-award compliance for sponsored programs, supervise staff, monitor payroll/effort transactions, develop SOPs, perform data analysis and reporting (SIMBA/Workday), support audits, provide training, and recommend policy/process improvements to ensure regulatory and sponsor compliance.

Lead and execute risk-based SOX 404 testing and internal audits across financial and operational cycles. Maintain SOX documentation, test ITGCs and application controls across ERP/business systems, apply data analytics for monitoring, identify control gaps, support remediation, coordinate with external auditors, and provide audit input on system implementations to strengthen ICFR.

Monitor account activity and transaction reports for BSA/AML and OFAC compliance. Perform reviews and testing of internal controls, prepare CTRs and SARs, maintain vendor and CTR-exemption documentation, support regulatory exams, and coordinate risk identification and mitigation with colleagues.