Top Compliance Jobs

Support onboarding compliance by performing CDD/KYB: gather and verify documentation, run risk assessments, flag/escalate suspicious activity, maintain records, assist periodic reviews and reporting, update procedures, and use compliance platforms to ensure BSA/AML, OFAC, and FinCEN adherence.

Coordinate royalty and compliance processes: collect and review licensee revenue reports, calculate royalties per contract terms, track compliance, escalate discrepancies, support audits, maintain databases, and improve workflows while collaborating with Legal, Finance, and Brand teams.

Lead and scale Step’s compliance program across banking, lending, and payments regulations. Build policies, manage exams, audits, monitoring, and issue tracking. Partner cross-functionally and with sponsor banks to ensure compliant product development, translate regulatory change into action, and serve as primary regulator and auditor contact to support rapid growth.

Advise U.S. Bank Capital Markets as regulatory subject-matter expert for Fixed Income and Sales & Trading. Oversee risk management, identify compliance gaps, influence policies and procedures, ensure regulatory adherence, manage and train a team of compliance professionals, and partner with business and risk leaders to mitigate regulatory exposure.

Administer and maintain the Compliance Management System and regulatory compliance risk assessment. Coordinate with lines of business to document risk and controls, prepare dashboards and reports for senior management, support continuous improvement of GRC processes, and stay current on regulatory trends. Execute program tasks and present risk findings to stakeholders.

Review and approve retail advertising and communications for compliance with federal/state insurance rules, FINRA and SEC regulations. Research and draft guidance, respond to regulator inquiries, manage SME review processes, maintain compliance materials, and communicate regulatory impacts to business units.

Lead and manage complex financial investigations, forensic accounting, and regulatory compliance engagements. Oversee case teams, conduct investigative interviews and internal control testing, write client-facing reports, manage client relationships, and drive business development while ensuring high standards of case delivery and team development.

Serve as payroll compliance SME for SBEA items and prior wage data; collect, translate, enter and reconcile prior wages; validate FEINs and successorships; educate clients and owners on wage/tax transitions; research minimum wage/overtime rules; support audits, reporting, training, and process improvements within Payroll Compliance.

Supervise broker-dealer and RIA representatives and perform principal trade reviews for brokerage and advisory transactions, ensuring suitability and regulatory compliance. Approve transactions, conduct account reviews to detect sales abuses, train advisors on regulatory and product requirements, escalate and resolve compliance issues, and recommend process improvements while coordinating with Compliance.

Lead oversight of financial crime investigations and AML/fraud prevention. Manage internal stakeholders, ensure BSA/OFAC compliance, review SARs, present findings to senior management, support technology and reporting, and drive operational improvements across the Financial Crimes Program.

The Senior Compliance Officer will lead compliance monitoring, testing, and resource management, develop metrics, and ensure effective stakeholder communication to uphold regulatory standards.

Lead and manage the enterprise SOX control framework: scope, risk assessment, control design, documentation, testing, deficiency remediation, and auditor liaison. Partner cross-functionally to embed controls in transformations and drive automation and efficiency across the program.

Lead the investment compliance Monitoring function, overseeing pre-trade, post-trade, and batch monitoring in Charles River. Guide complex compliance interpretations, manage violation escalation and remediation, drive automation and rule optimization, support regulatory changes and vendor oversight, and develop team capability while partnering with Investment, Legal, Risk, and Operations to strengthen governance and controls.

Conduct and execute compliance testing across firm businesses to assess adherence to regulations and firm policies. Gather and analyze data, document results, identify and escalate compliance risks, coordinate multiple reviews, and communicate findings with Compliance and business senior management globally.

Provide compliance support for Public Finance, Capital Markets and Commodities. Conduct surveillance, on-site branch and home office compliance inspections, regulatory responses and audits, review advertising and electronic communications, maintain WSPs and policies, and resolve regulatory or supervisory issues as assigned.

Oversee mortgage compliance program: manage licensing and exam readiness, handle complaints and SAR reviews, support audits, track corrective actions, and advise staff on regulatory matters while partnering with operations and QC/QA.

Support the firms registered investment adviser compliance program: review marketing materials, assist regulatory filings, maintain policies and Code of Ethics, conduct monitoring and vendor due diligence, respond to inquiries and DDQs, and translate regulatory developments into practical guidance.

Coordinate and support investment-adviser and ERISA compliance programs, perform SEC filings (13H/13F), review GIPS and sales literature, assist Advisory Solutions compliance operations, document SOPs, drive process improvements, and use data analytics and AI tools to identify compliance risks and support reporting and control testing.

Support the Chief Compliance Officer by reviewing research, communications, trades, and personal trading requests; perform vendor and client file reviews, assist with FINRA exams and annual reporting, monitor notices and exceptions, and escalate issues while building cross-department relationships to maintain regulatory compliance for a Broker-Dealer.

Manage Talos Energy's tax compliance across federal, state, local, indirect, property and franchise taxes. Oversee filings, maintain compliance calendar, prepare supporting workpapers, coordinate with internal teams and third-party providers, respond to audits and notices, support tax provision and SOX controls, monitor tax law changes, and coach tax staff.

Serve as the primary compliance liaison for Personal Financial Services, ensuring alignment with Bank Negara Malaysia and Shariah requirements. Lead policy reviews, gap analyses, compliance self-assessments, and independent control testing. Investigate non-compliance incidents, manage disciplinary cases, validate corrective actions, and report breaches and KRIs. Deliver targeted compliance training and foster a strong compliance culture across PFS.

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.

Audit loan documentation for federal, state, and investor compliance. Review third-party diligence defects, monitor remediation pipelines, conduct regulatory reviews (TILA, RESPA, TRID, ECOA, etc.), communicate defects, assist with appeals, and coordinate remediation with Operations and Correspondent Sellers.

Perform contract compliance audits and maintain contract repositories, identify discrepancies, partner with cross-functional teams to resolve issues, support Malbek CLM lifecycle activities, produce compliance and profitability reports, lead process improvements and freight terms governance, and support global compliance and ABM close activities.

Ensure Tilt's products, processes, and customer interactions comply with regulations. Manage complaints, perform UDAAP risk mapping and state regulatory research, test AI chatbot workflows, support audits, and drive process improvements through automation and data analysis.