Top Compliance Jobs

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.

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.

Conduct independent internal audits of business areas and control environments, identify financial crime and compliance risks, evaluate mitigating controls, recommend improvements, and monitor remediation. The role focuses on BSA/AML, anti-financial crime, corporate legal functions, governance, risk management, and regulatory compliance within financial services.

Own day-to-day compliance operations, including KYB/CDD and enhanced due diligence reviews, customer risk ratings, sanctions and blockchain screening, RFIs, alert investigations, and case documentation. The role also manages partner and audit requests, maintains compliance procedures, tracks operating metrics, and partners with engineering to automate manual workflows. Candidates should have fintech, payments, crypto, or banking compliance experience and knowledge of AML, FinCEN, FATF, and digital-asset requirements.

Executes high-volume KYC and third-party diligence operations for LNG and LPG counterparties. Responsibilities include tracking documentation, sanctions screening, CDD and EDD support, rescreening, case intake, reporting, Salesforce data maintenance, and escalation of elevated-risk findings. The role will also expand into compliance control testing, remediation tracking, and coordination with independent testers. Success requires strong organization, attention to detail, communication, and the ability to manage recurring compliance processes.

Leads banking and fintech compliance programs, including regulatory risk assessments, product and process reviews, marketing and disclosure approvals, sponsor-bank due diligence, policy and control management, and regulatory or internal audits. Partners with product, engineering, legal, operations, regulators, and financial institution partners to translate evolving requirements into actionable guidance and manage remediation.

Oversee complex tax calculations, reporting, and regulatory compliance for structured finance and corporate trust clients. Review junior staff work, validate data, manage filings, answer investor questions, prioritize team activities, support multiple complex accounts, and assist with staff development, scheduling, process implementation, and issue resolution. The role requires expertise in mortgage-backed securitizations, REMIC reporting, and tax analysis.

Leads financial crime compliance business analysis for AML modernization initiatives. Partners with compliance, risk, engineering, and IT teams to define requirements, map banking data, translate regulations into monitoring rules, evaluate vendor capabilities, conduct gap analysis, and manage UAT. Develops BRDs, FSDs, test plans, user stories, and acceptance criteria while supporting transaction monitoring, KYC, sanctions screening, investigations, case management, and regulatory reporting programs.

Oversee currency transaction reporting, sanctions screening, 314(a) requests, monetary instrument reviews, account risk monitoring, and W8-BEN processing. Investigate discrepancies, escalate suspicious activity, support audits and examinations, maintain compliance procedures and reports, and provide guidance to members, employees, and law enforcement contacts. Ensure accurate, timely regulatory filings and adherence to AML, OFAC, BSA, NCUA, and internal compliance requirements.

Leads U.S. and Canadian payroll tax compliance, filings, payments, audits, reconciliations, year-end reporting, controls, and regulatory monitoring. Manages a team of six payroll tax professionals while partnering with Payroll Operations, Technology, Product Management, HR, Accounting, vendors, auditors, and government agencies. Drives process improvements, system enhancements, testing, strategic initiatives, and organizational change across complex, multi-jurisdiction payroll operations.

Supports the Compliance Department with compliance monitoring, regulatory research, testing, reporting, process improvements, and procedure development. The intern researches banking regulations, summarizes findings, assists with checklists and reference materials, and gains exposure to BSA, fraud, operational risk, audits, and regulatory examinations. This is a full-time, local summer internship requiring strong analytical, communication, research, teamwork, and attention-to-detail skills.

Leads U.S. and Canadian payroll tax compliance, including filings, payments, audits, reconciliations, year-end reporting, regulatory monitoring, and agency relations. Manages and develops a team of six payroll tax professionals, establishes internal controls, drives process improvements, and partners with Payroll Operations, Technology, Product Management, HR, Finance, vendors, auditors, and government agencies on system enhancements and strategic initiatives.