Top Compliance Jobs

Support public sector finance and compliance engagements by collecting and reviewing financial documentation, performing basic compliance testing, preparing workpapers, assisting with financial modeling and analyses, and contributing to AML system data workstreams. Collaborate with teams, attend client meetings, and help with engagement execution under senior guidance while developing accounting and regulatory knowledge.

Serve as a global SOX and internal controls advisor, liaise with auditors, support annual planning/scoping, maintain control documentation, perform certain testing and remediation, manage quarterly SOX deliverables, support ITGCs and system migrations, and assist with reporting, training, and special projects.

Monitor pre-trade, post-trade, and batch compliance alerts in Charles River; assess permissibility, escalate potential violations, support client reporting, maintain records, drive process improvements and automation, and participate in related projects and testing.

Review pre-trade, post-trade and batch compliance alerts in Charles River, assess permissibility, conduct test trades, manage manual processes, escalate violations, support client reporting and lead medium-complexity projects to improve and automate monitoring processes.

Provide regulatory and compliance support for Defined Contribution plans, assist associates with nondiscrimination testing and plan corrections, educate plan sponsors, lead testing solutions for complex issues, manage escalated client relationships, and support sales and implementation activities. Requires subject-matter expertise in nondiscrimination testing and EPCRS, with some production work and cross-functional collaboration.

Perform pre-funding, post-closing, targeted, and vendor QC reviews of mortgage loan files to assess accuracy, investor eligibility, regulatory compliance, and adherence to policies; validate findings, manage vendor responses, track defects and trends, support remediation, and produce QC reporting to drive process improvements and control enhancements.

Manage compliance for federal, state, and local government grants by developing policies and SOPs, conducting internal monitoring and audits, preparing for external audits, partnering with program and finance teams for documentation and reporting, delivering compliance training, and advising leadership on continuous improvement and risk mitigation for assigned grants (TTF, SRAE, etc.).

Manage corporate compliance processes including associate training, registrations, disclosures and attestations; respond to compliance inquiries; monitor and report disclosures; identify and investigate compliance risks; collaborate with Compliance Analytics, Business Process, and IT to improve workflows; support ad-hoc Corporate Compliance projects.

Ensure 401(k) plan launches comply with product capabilities and regulations by auditing benefit analyses, plan documents, and system setups. Research conversion plan documents, identify and mitigate compliance risks, respond to high volumes of compliance inquiries, and collaborate with Sales Activation and onboarding teams to verify accuracy prior to plan launch.

Serve as a PWM Compliance VP advising business leaders on regulatory, supervisory and business-driven projects. Support regulatory change management, governance, marketing review, risk assessments, training, examinations, policy development, and cross-functional initiatives while acting as key compliance contact for working groups and business lines.

Provide independent second-line compliance oversight for U.S. Corporate Office programs. Support design, implementation, assessment, and monitoring of regulatory compliance management activities; advise stakeholders, manage regulatory reviews and escalations, prepare reporting and audit responses, and drive remediation. Partner with Legal, Risk, Finance, Audit, Technology and business units to identify and mitigate compliance risk across jurisdictions.

The Senior Vice President of Compliance & Control will develop investment adviser compliance programs, ensuring adherence to regulations, managing risk assessments, and supporting regulatory inquiries.

Lead HL's regulatory engagement and policy insight activities within the second line of defence. Monitor and interpret UK regulatory developments, coordinate external engagement and consultation responses, produce executive briefings, identify regulatory risks and partner with Compliance, Risk, Legal and Public Affairs to shape strategic responses and influence policy outcomes.

Monitor and investigate suspicious activity alerts, review currency transaction reports, perform due diligence on high‑risk accounts, maintain records and reports, support FCRM alert management and system improvements, and assist with audits and regulatory examinations to ensure BSA/AML compliance.

Maintain insurance compliance with landlords, vendors, and third parties; manage certificates of insurance; support claims administration and invoice coding; coordinate with AP/AR, finance, and operational teams; capture property/COPE data; provide general risk management administrative support and process improvement suggestions.

Prepare, review, and submit regulatory compliance filings to the FCC, PUCs, and state agencies for telecom clients. Coordinate with clients, analyze financial and operational data, maintain regulatory knowledge, and ensure timely, accurate reporting to support compliance.

Support clients' 401(k) plans by performing compliance testing (ADP/ACP, Deductibility, Top Heavy, 401(a)(4), 402(g), 410(b), 415), preparing IRS filings (Forms 5500, 5330, 8955-SSA), drafting plan documents and amendments, reviewing QDROs, calculating contributions, consulting on plan design, assisting auditors and Relationship Managers, and maintaining ERISA/IRS regulatory knowledge.

Lead SEC registration and design Infra One's US compliance operating system. Build written policies (Form ADV, AML/KYC, custody), run multi-fund monitoring and GP due diligence, manage exams and regulator relationships, advise on fund structuring and conflicts, and define organizational substance, books-and-records, and cybersecurity compliance for a scalable platform.

Lead Compliance Monitoring & Testing for TD Securities US: design and execute annual testing plans, determine scopes and methodologies, prepare workpapers and reports, manage remediation, develop metrics and rules inventory, support Core Compliance projects, and build relationships with stakeholders and regulators while overseeing a team of specialists.

Lead and execute compliance for a CFTC-regulated exchange and clearinghouse. Own trade surveillance, manage Eventus/Validus configuration, handle CFTC inquiries, maintain policies and reporting, liaise with Engineering and Operations, mentor compliance staff, and support regulatory filings and examinations.

The Sr Associate - Compliance will develop compliance policies, assess regulatory risks, review marketing and investor communications, and manage compliance programs.

Lead risk-based internal audit coverage for Order-to-Cash, Legal & Regulatory Compliance, and Human Resources. Design and execute audits on revenue controls, trade compliance, anti-bribery, data privacy, antitrust, payroll/compensation, and HR controls. Provide independent assurance, actionable insights to executives and the Audit Committee, and maintain a dynamic risk-based audit plan aligned with ERM and SOX.

Execute internal audits and SOX engagements across the global organization. Assess design and operating effectiveness of controls, identify findings and remediation plans, perform walkthroughs, review third-party arrangements, and support external audits and ad-hoc assignments.

The Portfolio Oversight Analyst will manage trading controls, code client investment guidelines, handle regulatory compliance, and support trading desks. Responsibilities include preparing regulatory reports, assisting in client due diligence, and participating in overnight calls for trading issues resolution.

Prepare and review VAT/GST returns across multiple jurisdictions; reconcile return data to ERP, review cross-border VAT treatment, support audits and tax authority inquiries, coordinate with external advisors, assist with indirect tax registrations, implement e-invoicing and reporting initiatives, and drive process and ERP improvements for indirect tax compliance.