Top Compliance Jobs

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

Lead and manage the banks compliance program for lending and deposit regulations. Advise senior leadership, oversee regulatory change management, coordinate exams and filings, conduct risk assessments and remediation, manage monitoring and audits, develop policies and training, and mentor compliance staff.

Lead regulatory change initiatives for registrations, vendor and technology programs, and compliance operations. Advise business leaders on FINRA/SEC/MSRB rules, manage registration lifecycle and vendor due diligence, drive workflow modernization, and lead a team to ensure operational effectiveness, risk mitigation, and policy implementation across the firm.

Lead strategy, standards, and governance for SOX/ICFR business process controls across the company. Oversee control design, monitoring, remediation, audit support, and transformation efforts (automation, GRC tools, data monitoring). Manage a team and partner with Finance, Technology, and Operations to strengthen the control environment and report status to senior leadership.

Execute risk-based internal audits per the annual plan, document findings, assess controls, and support other audit matters and projects. Work independently and with teams to evaluate dealership accounting, compliance (F&I), and operational processes. Role requires significant travel to dealership markets (50%).

The Senior Compliance Auditor plans and executes compliance audits, assesses risks, prepares detailed reports, and collaborates with various departments to ensure adherence to compliance policies and legal requirements.

Lead and manage internal and external financial, compliance, and programmatic audits. Evaluate internal controls, perform risk assessments and transactional testing, review IT general controls and third-party reports, document key processes, analyze financial data, draft findings and management action plans, and coordinate with external auditors. Drive improvements to controls and support special projects as assigned.

Lead embedding of compliance framework for Regional Wealth Management, act as liaison with Group Compliance, review regulations and product documents, manage audits and regulatory requests, design training, partner with process owners on controls and remediation, and coach staff to ensure first-line defence compliance.

Lead and execute the bank's compliance program including risk-based testing, monitoring, policy maintenance, issue remediation, training, reporting, and partnering with business units to ensure regulatory adherence.

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

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.

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.

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

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 Regional Compliance Officer will advise Wealth Management teams on compliance, conduct risk, and regulatory issues while overseeing risk management and compliance initiatives within the region.

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

The Executive Manager for Financial Crime Compliance oversees regulatory engagements, designs compliance frameworks, and manages financial crime incidents. This leadership role involves strategic advisory, policy development, and enhancing governance in AML, CTF, and related fields.

The Compliance Analyst will support compliance efforts in financial crime and core compliance areas, assisting with data analysis, process documentation, and stakeholder engagement.

The Director of Tax & Compliance will lead global tax and regulatory compliance, ensuring timely, accurate operations across jurisdictions while driving tax strategy and governance. The role includes managing tax filings, compliance, and collaborating with cross-functional teams to optimize tax outcomes and mitigate risks.

The Vice President of Compliance & Control manages compliance with regulations, develops programs, analyzes legislation, and interacts with regulators and senior management.

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

Perform transaction monitoring and AML investigations, conduct KYB onboarding and due diligence, prepare risk summaries and SAR/STR support, respond to regulatory requests, and improve compliance operations while covering US banking hours.