Top Compliance Jobs

The Director of Futures Operations will oversee trading and clearing, manage futures and options trade flow, and enhance operational processes while collaborating with compliance and risk teams.

Participate in a 12-week compliance internship within a banking environment, supporting AML or governance, risk, and compliance initiatives. Responsibilities include compliance projects, data analysis, documentation, reporting, regulatory adherence, process improvement, meetings, and administrative support for compliance programs.

Oversee multi-state and local tax compliance across multiple entities and jurisdictions, including sales and use tax filings, registrations, audits, notices, tax accruals, and risk mitigation. Manage and mentor a Sales Tax Specialist, coordinate income and franchise tax matters with external firms, maintain Avalara and NetSuite integrations, support tax configuration, and improve compliance processes and reporting.

Leads the enterprise compliance policies, procedures, and training program for consumer lending products. Translates federal and state regulations into practical, risk-based business requirements, oversees policy lifecycle management, develops compliance training, supports audits and regulatory examinations, and advises product, operations, risk, legal, and compliance stakeholders. The role also serves as an escalation point for complex consumer lending compliance matters and helps maintain effective documentation, controls, reporting, and training effectiveness.

Supports the Deposits Compliance team in operating the Compliance Management System for bank and fintech partner programs. Conducts due diligence, monitoring, reviews, control and risk-indicator assessments, policy and marketing-material reviews, issue research, remediation planning, and regulatory compliance support. Advises on consumer protection requirements involving payments, cards, checks, ACH, wires, and instant payments while collaborating with business units, partners, Legal, Risk, and Audit teams.

Supports enterprise risk management through risk reporting, committee and board materials, ERM framework maintenance, policy reviews, risk assessments, and Archer GRC dashboards. Develops AI capabilities for risk programs, collaborates on risk analytics and data management, communicates issues across business lines, and assists with enterprise risk initiatives. The role requires strong reporting, presentation, analytics, banking risk, communication, organizational, and Microsoft application skills.

Leads compliance examination and operational risk activities for mortgage counterparties, including planning, execution, documentation review, issue remediation, risk monitoring, stakeholder communication, and process improvement. Serves as a primary contact across CORE teams and business units, provides data-driven challenges and risk perspectives, supports approval processes, and drives workflow enhancements. Requires strong influence, communication, problem-solving, control assessment, and relationship-building skills, with mortgage industry experience preferred.

Advise business teams on consumer credit regulatory compliance, perform policy and procedure gap assessments, track remediation, support regulatory examinations, analyze requested documentation, and help prepare regulatory meeting materials. The role collaborates with Legal, Information Security, Governmental Affairs, and business units to address compliance risks, improve controls, and resolve complex issues involving privacy and consumer protection laws.

Manage compliance for Invesco’s managed accounts business, serving as the fixed-income trading compliance lead. Responsibilities include developing pre- and post-trade monitoring rules, improving compliance workflows, interpreting advisory and regulatory requirements, supporting new products, leading cross-functional compliance projects, and enhancing technology-enabled testing and reporting processes. The role also serves as a liaison between business and compliance leaders and advises on SMA portfolio guidelines, trading systems, and risk-management improvements.

Leads global income tax compliance, including U.S. partnership returns, international affiliate filings, tax provisions, ASC 740 reporting, tax disclosures, and SOX controls. Advises executives on M&A tax matters, global structuring, intercompany arrangements, and business initiatives. Oversees external advisors, monitors tax law changes, improves compliance processes, and provides strategic leadership across multinational tax operations.

Leads NVIDIA’s global payment operations and compliance function, overseeing accounts payable payment processing, ERP and H2H bank transmissions, reconciliations, fraud detection controls, regulatory compliance, payment monitoring, automation, and a global payment processing team.

Lead the BSA/AML and Sanctions compliance program for a regulated fintech payments business. Responsibilities include maintaining policies, risk assessments, controls, and governance; translating regulations into product and control requirements; conducting counterparty due diligence; delivering training; supporting audits and regulatory examinations; and advising Product, Engineering, Legal, Sales, and other teams on compliance risks. The role requires deep payments, digital assets, blockchain, sanctions, AML, and fintech compliance expertise.

Own sales, lodging, and hotel occupancy tax compliance for short-term rental properties across multiple jurisdictions. Responsibilities include registering and maintaining tax accounts, preparing and filing returns, remitting taxes, reconciling OTA collections, monitoring deadlines and rate changes, resolving discrepancies, responding to tax authorities, and maintaining accurate documentation. The role requires strong knowledge of sales tax nexus, multi-jurisdiction compliance, organization, communication, and proficiency with spreadsheets and filing systems.

Provides compliance guidance for workplace investment products and services. Interprets and monitors ERISA, DOL, IRS, federal, state, and local requirements; advises business, product, legal, and risk partners; responds to regulatory inquiries; reviews policies and procedures; resolves compliance issues; and develops reporting to measure program effectiveness.

Executes the bank’s compliance management program by monitoring regulations, testing compliance activities, reviewing policies, forms, disclosures, products, and systems, coordinating audits and exams, documenting findings, supporting remediation, and advising management and staff on banking compliance requirements.

Lead AML/BSA, KYC/KYB, fraud, transaction monitoring, and sanctions compliance programs. Manage banking and financial institution relationships, oversee investigations and UAR/SAR processes, translate regulations into operational controls, coordinate audits and examinations, track regulatory developments, and deliver compliance training. Partner cross-functionally with Legal, Product, Engineering, and Operations to support responsible product growth and regulatory readiness.

Supports the contract team by preparing rental documentation, verifying information for compliance, and assisting with related duties. The role requires customer interaction, problem-solving, teamwork, technology proficiency, safe work practices, and familiarity with OSHA requirements. The coordinator works Monday through Friday with possible weekend on-call responsibilities and overtime after 40 hours.

Supports compliance operations for a futures commission merchant by monitoring CFTC, NFA, DCM, and DCO requirements; reviewing transaction alerts, communications, marketing materials, and customer risk; maintaining policies and supervisory procedures; assisting with AML/KYC, regulatory inquiries, examinations, filings, product launches, and remediation.

Supports logistics internal controls by executing recurring operating routines, maintaining audit-ready documentation, coordinating controls testing, managing evidence and access reviews, compiling KPI reports, and tracking corrective actions. The role partners with Logistics, Supply Chain, Finance, Internal Audit, IT Security, and external stakeholders to identify gaps, improve process consistency, and ensure timely issue resolution and audit readiness.

Supports nationwide commercial property and casualty insurance filings by preparing rate, rule, and form submissions; analyzing state regulations and rating bureau guidance; responding to DOI interrogatories; maintaining approval charts, policy forms, rates, and manuals; and developing business rules for product and system updates. The role also conducts regulatory research, manages compliance projects and deadlines, and collaborates across business units.

Oversee internal audits, regulatory compliance, internal controls, risk management, governance, and fraud investigations. Plan and execute audits, identify control weaknesses, recommend corrective actions, prepare reports, monitor remediation, support external audits and regulatory inspections, and collaborate with stakeholders to improve operational efficiency and compliance.

Monitors investment compliance across public pension portfolios, managers, trading, ethics, proxy voting, policies, risk, performance, asset allocation, and regulatory requirements. Reviews due diligence, verifies portfolio and variance data, supports investment policy updates, trains fiduciary staff, responds to regulators, and reports compliance findings. The role requires strong investment, financial markets, analytical, statistical, reporting, and communication skills, with occasional business travel.

Prepares and reviews complex retirement plan compliance tests, government filings, Form 5500 packages, regulatory forms, plan documents, reconciliations, and allocation calculations. Researches and resolves compliance issues, supports audits, mentors team members, and helps improve department processes. The role requires retirement plan administration expertise, advanced mathematics, regulatory knowledge, and an ASPPA Qualified 401(k) Administrator designation.

Prepare and review complex retirement plan compliance tests, year-end packages, government filings, and regulatory forms including Forms 5500, 5330, and 8955-SSA. Reconcile plan assets, calculate contributions and corrective earnings, prepare plan documents, research compliance issues, support audits, and mentor team members. The role requires advanced retirement plan knowledge, accurate regulatory reporting, independent work, and collaboration across departments.

Investigates suspicious activity, financial crime alerts, high-risk clients, and referred cases involving BSA, AML, fraud, and related risks. Documents findings, prepares SARs or CTRs when warranted, manages case queues, analyzes transaction data and trends, and supports regulatory compliance, audit readiness, and process improvements.