Top Compliance Jobs

Supervise tax compliance operations related to various taxes, ensuring timely filings and handling customer billing and resolutions. Manage team performance and compliance metrics while coordinating audits and maintaining procedures.

The Tax Compliance Manager will oversee tax compliance, reporting, and planning, manage filings, coordinate with auditors, and maintain tax processes.

The Head of Compliance will build and manage the compliance program, lead MTL applications, and develop compliance policies, hiring a team over time.

Support and maintain the Compliance Management Program by managing regulatory examinations and filings, administering complaint processes, conducting testing and risk assessments, designing compliance tools and reporting, advising business partners, developing policies and training content, and reporting compliance matters to senior leadership and the Board.

Manage and perform franchise audits end-to-end, train and guide audit staff, assess risks and royalty reporting, update SOPs, meet with management, and support audit projects to ensure accuracy and compliance with franchise agreements.

Lead operationalization of the Compliance Management System: measure and rank compliance risk, design controls, manage policies, run risk-based monitoring and testing, coordinate exams, drive issue remediation, report KPIs to leadership and board, and directly manage compliance staff while partnering across business, operations, and technology.

Lead and optimize the IT SOX program, perform IT process and control reviews, oversee SOX testing (ITGCs/ITACs/IPEs), liaise with external auditors, manage remediation, and build a high-performing team while advising executive leadership on control improvements.

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.

Lead development and oversight of the bank's Compliance Management System. Drive policy creation, regulatory exam management, metrics and MIS reporting, technology initiatives, remediation of gaps from audits/exams, stakeholder reporting, and manage regulator and internal audit requests to ensure deposit, lending, privacy, and consumer compliance.

The Senior Compliance Officer will oversee compliance monitoring, support regulatory requests, maintain procedures, and collaborate with global teams.

Serve as subject matter expert for U.S. and Canadian payroll tax compliance. Independently research and resolve complex payroll tax issues, manage agency inquiries, oversee tax adjustments and filings (W-2, 941, T4, etc.), conduct audits/reconciliations, coordinate with vendors and stakeholders, support audits, and drive process and control improvements to reduce risk.

Reviews and advises on marketing and distribution materials for regulatory compliance, conducts testing and surveillance, responds to compliance inquiries and RFPs, prepares documentation for exams and due diligence, and supports process improvements and special projects within the Compliance team.

Support MAR/SOX compliance through risk assessments, control testing, documentation, reporting deficiencies, preparing audit reports, peer review, and coordinating remediation with management and regulators.

Support development and coordination of audits across Underwriting, Claims, and Product Development. Conduct independent agency audits, improve analytical controls, and assist with market conduct exams. Maintain compliance documentation and collaborate with stakeholders.

Conduct KYC onboarding and due diligence for clients. Analyze documentation, perform sanctions checks, and work cross-functionally to ensure compliance.

The Senior Associate will conduct daily Portfolio Surveillance, resolve compliance violations, support Portfolio Managers, and lead improvement projects.

The Compliance Manager oversees the internal control framework, compliance programs, and operational risk management, collaborating with various teams to ensure regulatory compliance and process improvements.

The AVP will oversee compliance technology platforms, ensuring they meet regulatory standards while coordinating with stakeholders for technology needs and project management.

Manage royalty audits and processes, coordinate with auditors, research claims, calculate royalties, draft agreements, and support affiliate offices.

Oversee US international tax compliance and reporting for Sony, managing a team, analyzing tax processes, and explaining legislation impacts.

Manage international tax compliance for Sony Corporation, including tax reporting, preparation and review of income tax returns, and liaison with business units.

Monitor and resolve pre-trade compliance alerts and post-trade exceptions, apply SEC and client guidelines, prepare regulatory reports, onboard new accounts and set compliance rules, improve controls and processes, and coordinate with trading, portfolio management, operations, and global support teams to ensure compliant trading activity.

Ensure the credit union complies with federal, state, and local banking laws by monitoring regulatory changes, conducting reviews and risk assessments, researching compliance questions, supporting audits, delivering training, investigating issues, preparing management reports, and assisting ERM/BCP efforts. Complete required BSA/OFAC training and recommend corrective actions.

Support organizational financial health through budgeting, financial reporting, grant compliance, and analysis. Develop and monitor program budgets, prepare donor and grant financial documentation, ensure federal/state/contractual compliance, assist audits, and communicate financial insights to program staff and leadership.

Lead and improve payroll operations and controls, manage the Payroll team, ensure global payroll compliance and accurate reporting, support CFO on finance and accounting projects, drive process improvements and system initiatives (including ERP/payroll systems), prepare for audits, and mentor staff to maintain continuity and scalability across finance functions.