Top Compliance Jobs

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.

Performs regulatory compliance monitoring and testing across the bank and affiliates. Researches applicable laws, regulations, and policies; documents and communicates findings; tracks corrective actions; supports risk assessments, procedures, reports, and merger-related testing; and maintains expertise in consumer protection, Anti-Money Laundering, and Bank Secrecy Act requirements.

Reviews marketing and customer-facing materials for regulatory compliance, performs monitoring and control testing, handles KYB/KYC and transaction-monitoring escalations, supports enhanced due diligence, maintains compliance records, assists with audits and examinations, partners with internal teams, and tracks employee compliance training.

Provides strategic leadership for global AML and sanctions programs, including crypto and digital-asset financial crime risks. Advises senior stakeholders, interprets regulations, leads risk assessments and remediation initiatives, evaluates controls, and oversees governance, reporting, and escalation. Partners with Legal, operations, technology, and financial intelligence teams to address control gaps and improve compliance programs. Coaches colleagues and supports risk-based decision-making across a global organization.

Executes independent, risk-based compliance testing and validation across bank business units. Researches regulations, develops test procedures, analyzes controls, identifies compliance issues, documents findings, validates corrective actions, and communicates results to management and business partners. The role also provides regulatory guidance, manages testing engagements, supports compliance initiatives, and contributes subject-matter expertise, mentoring, and process improvements.

Oversee enterprise risk management, insurance claims, litigation coordination, regulatory compliance, audits, and corrective actions. Analyze claims, accidents, litigation, costs, and commercial driver safety trends to identify exposure and recommend mitigation initiatives. Manage relationships with insurers, brokers, third-party administrators, outside counsel, executives, and operational leaders. Maintain risk policies, records, reporting, insurance renewal materials, and compliance practices involving OSHA, DOT, and other regulations.

Lead independent compliance testing reviews across consumer financial regulations, evaluating control design and effectiveness. Identify control gaps, recommend enhancements, analyze data, prepare testing reports, track remediation, and communicate risks to business partners and senior leadership. The role also supports audits, regulatory examinations, compliance initiatives, and data-driven testing capabilities while partnering across the organization to strengthen compliance risk management.

Lead Mercury’s Compliance Governance team and core Compliance Management System programs, including compliance risk assessment, policy governance, enterprise training, compliance reporting, and issues management. Drive exam and audit readiness, regulatory engagement, executive reporting, credible challenge, and scalable automation. Partner closely with Compliance, Enterprise Risk, Legal, Internal Audit, executives, regulators, and banking partners while developing team capabilities and aligning governance with regulated-bank expectations.

Provides strategic oversight of mortgage post-closing suspense and compliance issue management. Leads risk-based issue identification, escalation, remediation, root-cause analysis, corrective action validation, regulatory examination support, reporting, and continuous process improvement. Partners across compliance, regulatory change management, quality control, internal audit, and operations to strengthen the Compliance Management System and prevent recurring deficiencies.

The Senior Financial Analyst supports the Global Development organization by ensuring compliance with financial activities and performing audits, mentorship, and process improvements related to Clinical Trials budgeting.

Analyzes insurance regulations and legislation, evaluates operational impacts, monitors compliance action plans, coordinates claims and rate system revisions, prepares regulatory submissions, investigates consumer complaints, conducts compliance assessments and audits, and supports operating companies with regulatory requirements. Provides guidance to associates and applies expertise in workers’ compensation regulations, insurance contracts, state audits, EDI compliance, and claims operations.

Monitors compliance for 200+ technology license agreements, including royalties, reporting, milestones, and other contractual obligations. Reviews agreements, maintains finance and compliance data in Wellspring-Sophia, prepares reports, communicates with licensing officers and licensees about compliance issues, and supports accounts receivable reduction. The role requires collaboration with legal, accounting, research administration, and investment offices while maintaining confidentiality and accuracy.

Supports the regulatory compliance and enterprise risk program for fintech lending operations. Responsibilities include post-close quality assurance reviews, vendor assessments, bank-partner questionnaires, licensing and renewal tracking, audit readiness, regulatory monitoring, SOC compliance workstreams, and remediation efforts. The role also maintains compliance documentation, reporting, and trackers while partnering with bank partners, auditors, and senior leadership.

Support administration of federally and state-funded programs (CACFP, SFSP, DFACS, Housing Authority, 21st Century), ensuring regulatory compliance, accurate records, timely reporting and reimbursements, program monitoring, payroll validation for grant positions, training facilitation, procurement compliance, and audit support.

Review and approve high-volume marketing and investor-facing content for SEC Marketing Rule compliance; conduct vendor due diligence and AI governance oversight; support books-and-records, testing, monitoring, and compliance program documentation; partner with stakeholders on training, disclosures, and remediation; manage compliance-related vendor relationships and projects.

Conducts highly mobile cash vault audits, risk assessments, compliance surveys, and physical security inspections. Reviews field reports, monitors audit performance, communicates with clients and field personnel, maintains confidential records, prepares confirmations and SSAE reports, and coordinates extensive domestic and occasional international travel. The role requires accuracy, strong communication, independent judgment, multitasking, flexible scheduling, and frequent kneeling and lifting up to 40 pounds.

Own product compliance reviews for new products, features, market expansions, and material changes across a global crypto platform. Assess regulatory, AML/CFT, sanctions, KYC, consumer protection, market conduct, privacy, safeguarding, and third-party risks. Partner with Product, Engineering, Legal, Risk, and Compliance teams to define controls, document decisions, support launches, monitor post-launch risks, deliver training, and escalate residual exposures.

Oversee affordable housing compliance operations, including certifications, recertifications, file quality control, audits, regulatory updates, reporting, and process improvement. Lead, coach, and develop Compliance Specialists while monitoring workloads, service levels, performance metrics, and corrective actions. Partner with property operations, leasing, asset management, accounting, and development teams to meet occupancy and compliance goals. Support agency audits, investor reviews, policy development, system implementations, and departmental initiatives.

Leads risk and compliance for Zepz’s Belgian operations as an NBB-approved Fit and Proper executive. Builds the local second-line risk framework, oversees regulatory compliance, AML/CFT, ICT and outsourcing risk, safeguarding controls, and financial crime governance. Conducts independent risk assessments and control testing, manages the AMLCO, maintains licensing and regulatory records, and reports directly to executive management, the Audit and Risk Committee, and the Board.

Supports second-line risk and compliance activities for the Belgian entity, including control testing, operational and ICT risk oversight, DORA compliance, outsourcing, safeguarding, remediation tracking, regulatory reporting, policy ownership, regulatory horizon scanning, consumer protection, conduct reviews, and whistleblower or ML/TF investigations.

Leads the university’s enterprise risk management and institutional compliance programs. Responsibilities include maturing risk registers and assessment methods, facilitating risk governance committees, reporting to senior leadership and the Board, coordinating decentralized compliance owners, monitoring regulatory changes, prioritizing compliance activities, escalating concerns, and supporting training and communications.

Monitors agent and customer transactions for suspicious activity, investigates potential AML violations, and determines whether SAR filings are required. Collaborates with internal teams and authorities, supports customer risk ratings, ensures BSA/AML compliance, reviews SAR quality, prepares investigative reports, maintains case tracking, and assists with AML controls, training, and special projects.

Own Trovy’s consumer financial services compliance function across lending and card programs. Manage the compliance management system, regulatory risk frameworks, mortgage servicing compliance, marketing reviews, licensing, regulatory reporting, examinations, partner reporting, vendor risk management, and privacy obligations. Advise product, engineering, marketing, operations, and leadership teams on federal and state regulatory requirements.