Top Compliance Jobs

Support design, implementation, and oversight of the firm's wholesale broker-dealer compliance program. Develop and maintain written supervisory procedures, advise business on regulatory requirements and wholesale/retail boundaries, perform testing and monitoring, manage licensing/registrations, coordinate regulatory responses and exams, review sales and advertising, lead projects, support training, and monitor regulatory changes.

Lead and enhance the firms broker-dealer and investment adviser compliance program, oversee risk assessments, WSPs, advertising reviews, regulatory filings and exams, manage a small compliance team, support training, monitor regulatory changes, and partner with business leaders on compliance matters.

Oversee day-to-day financial management for a client portfolio: lead compliance team, prepare and file federal/non-federal campaign finance reports, maintain bookkeeping, budgets, cashflow, reconciliations, payroll, and client financial reporting while ensuring GAAP compliance and efficient workflows.

Lead a compliance team managing day-to-day financial operations for political and nonprofit clients, including FEC and nonfederal filings, bookkeeping, budgets, reconciliations, payroll and benefits, client reporting, onboarding/offboarding, GAAP compliance, vendor relationships, and workflow implementation.

Manage the Loans Enablement Platform team, develop risk frameworks, conduct audits, ensure compliance with regulations, and foster risk awareness.

Manage Compliance frameworks, lead assurance activities, and implement regulatory changes in Personal Financial Services. Advise stakeholders to enhance compliance practices and drive a culture of compliance across teams.

The Vice President will oversee compliance for credit secondaries products, ensuring adherence to regulations and internal policies. Responsibilities include compliance oversight, conflict resolution, and support for fund launches.

The Compliance Analyst manages compliance oversight, monitors regulatory adherence, and enhances internal controls, providing support to trading staff and ensuring data integrity.

The Compliance Director oversees regulatory compliance functions, mentors compliance professionals, and collaborates with stakeholders to ensure adherence to regulations.

Design, maintain, and enhance BSA/AML frameworks, controls, and tooling for digital assets. Conduct client due diligence and risk assessments, perform crypto-related financial-crimes investigations using blockchain analytics, develop procedures and training, support regulatory exams and audits, and brief senior leaders on emerging risks and controls.

Manage design, execution, and continuous improvement of compliance activities for payments. Conduct assessments, control testing, regulatory analysis, remediation planning, reporting, policy maintenance, and stakeholder training to reduce regulatory risk and support audit readiness.

Support execution of the IT SOX compliance program: perform walkthroughs and control testing, collect evidence, maintain control documentation, evaluate ITGCs and application controls, coordinate remediation with control owners, support auditors, assist in IT risk assessments and training for control owners, and prepare status reports and dashboards.

Execute risk-based compliance monitoring and testing to validate bank adherence to laws and regulations. Develop workpapers, report findings with root-cause analysis, verify remediation, perform complaint and data analytics, use social media listening and AI tools for marketing compliance, and support annual risk assessments while maintaining stakeholder relationships.

Support the bank's compliance risk management by performing monitoring, transactional testing, and quality control. Track regulatory changes, assist reporting and risk metrics development, prepare reports for the Compliance Officer, and maintain knowledge of federal and state regulations affecting assigned areas.

Lead design and oversight of investment compliance programs for the general account, ensuring adherence to insurance and securities laws and internal policies. Establish policies, monitor and test compliance (including derivatives), escalate and remediate issues, partner with Legal/Risk/Internal Audit, advise senior investment leaders, and build a high-performing compliance team while driving technology-enabled process improvements.

The Payroll Tax & Compliance Analyst handles payroll tax filings, ensures multi-state compliance, reconciles accounts, and manages audit readiness while supporting integration projects.

The Senior Compliance Analyst manages compliance projects, prepares IRS filings, conducts nondiscrimination testing, and ensures regulatory compliance for 401(k) plans.

The Tax Specialist prepares federal and multi-state tax returns, manages compliance, supports audits, and collaborates on process improvements and data management.

The Mortgage Compliance & Quality Control Specialist ensures compliance with mortgage regulations, performs quality control reviews, and communicates findings to management.

The role involves designing a DCAA-compliant accounting system using QuickBooks Online and GovBooks, ensuring audit readiness, and managing government contract billing and reporting.

The Financial Crime Compliance Officer will support compliance initiatives, maintain financial crime control frameworks, and assist with KYC and sanctions processes.

The Chief Risk & Compliance Officer is responsible for overseeing compliance and risk management across AIA Investment Management, ensuring effective governance and risk procedures, advising senior management, and participating in decision-making processes while maintaining relationships with regulatory bodies.

This role manages professional wealth credentials, ensuring compliance and licensing details, facilitating training sessions, and optimizing processes for growth.

Lead government accounting operations, ensuring compliance with regulations, managing a remote team of accountants, and optimizing processes for operational efficiency.

The Compliance Specialist supports compliance programs through data analysis, testing, and surveillance, recommending improvements and monitoring developments.