Top Compliance Jobs

The Compliance Director leads the development and implementation of compliance programs for Vanguard's investment vehicles, ensuring adherence to ethical and regulatory standards. Responsibilities include conducting inspections, managing investigations, and providing strategic support for product launches.

The Head of Wealth Management Risk & Compliance leads risk and compliance strategies, ensuring regulatory adherence and ethical practices in financial services. This role advises executives, oversees compliance with regulations, manages risk assessment processes, and develops a high-performing compliance team.

The Manager of SEC Reporting oversees compliance, reporting, and accounting processes. This role ensures timely SEC filings, coordinates with other teams, and supports risk and compliance initiatives, while leading a robust accounting organization.

The Financial Aid Compliance & Processing Specialist evaluates financial aid applications, ensures compliance, and provides student support regarding financial resources.

The Senior Manager for U.S. Domestic Tax Compliance leads the execution of complex tax compliance, oversees partnerships and filings, and drives process improvements while ensuring technical accuracy and compliance in documentation.

The Sr. Manager, Code Compliance oversees and enhances the Code of Ethics and compliance processes, ensuring regulations and policies are followed while leading a team to improve operational efficiency and manage conflicts of interest.

The Compliance Analyst is responsible for reconciling premium and taxes, preparing tax reports, ensuring compliance with state regulations, and reporting accuracy.

The role involves compliance management, risk assessments, and supporting compliance reviews and audits in a banking environment. It communicates with various departments to ensure adherence to banking regulations and prepares reports on compliance findings and remedial actions.

The Auditor, Compliance will conduct audits of governance and controls, evaluate compliance, and provide improvement recommendations while managing multiple priorities and collaborating with stakeholders.

As a Senior Compliance Officer, you'll enhance compliance policies, prepare metrics reports, perform quality assurance, and identify risks while collaborating with business partners to foster a strong risk culture.

The role involves providing compliance support for AML and Sanctions in the Securities business, analyzing risks, advising on policies, and enhancing training for staff.

Responsible for overseeing financial crime investigations and ensuring compliance with AML regulations while building internal and external relationships for effective collaboration.

The BSA/AML Compliance Associate will support the bank's compliance programs, focusing on transaction monitoring, alert review, and SAR drafting, while collaborating with various stakeholders.

The Risk & Compliance Specialist manages compliance frameworks, focusing on contracts and regulatory requirements, while mitigating risks for the organization.

The Senior Manager will lead AML examinations to assess compliance controls at CIBC, using regulatory knowledge to enhance testing methodologies and stakeholder relationships.

The Compliance Modeling Analyst develops and reviews financial models for CLOs, ensuring quality through rigorous testing and collaboration with stakeholders, while maintaining automated processes for efficiency.

The Tax Compliance Senior Associate prepares partnership tax returns, assists with tax provisions, and advises on renewable energy tax matters while managing compliance workflows and working cross-functionally.

The Senior Export Compliance Specialist manages export controls and compliance programs, provides subject matter expertise on regulations, and conducts due diligence for exports and sanctions screening.

Manage government accounting and compliance, ensuring adherence to regulations and standards while supporting US government operations. Lead financial reporting and audits, collaborate with teams, and maintain scalable accounting processes.

The VP oversees financial reporting and regulatory compliance, manages reporting processes, leads a team, and ensures accurate regulatory filings and governance protocols are met.

The Senior Federal Compliance Specialist ensures accurate cost identification and reporting for federally funded contracts, audits expenses, provides pricing compliance, and manages cost calculations and submissions.

The SOX & Internal Controls Compliance IT Manager will oversee SOX compliance, implement control programs, assess IT risks, and ensure effective IT governance within the organization.

The Tax Manager leads tax compliance and planning, focusing on federal and state tax credits for renewable energy projects, ensuring robust internal controls and documentation for financial and compliance standards.

The Compliance Specialist ensures regulatory compliance for asset management, maintains records, supports fund-related tasks, and collaborates with internal stakeholders.

Support portfolio compliance team with daily pre- and post-trade monitoring, rule coding and testing in Charles River, UCITS breach review, client onboarding, incident and client reporting, and compliance rule library migrations under supervision.