Top Compliance Jobs

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.

Ensures the investment firm's business complies with applicable regulations, internal policies, and ethical standards. Responsibilities include timely regulatory reporting, responding to inquiries, documenting procedures, addressing trading strategy and technology-control issues, supporting SEC reviews, and conducting compliance monitoring, testing, and control implementation. The role requires knowledge of securities regulations and financial services operations, with familiarity with Bloomberg or Charles River preferred.

Provides operational and analytical support to the Compliance Department through regulatory reporting, internal reviews, document maintenance, research, task tracking, and administrative activities. Supports HMDA, CRA, Adverse Action, Regulation B, disclosure notifications, collateral insurance tracking, and related compliance processes. Manages recurring deadlines, researches issues, maintains accurate records, improves processes, and collaborates with management, employees, vendors, and peers.

Reviews and provides guidance on advertising materials for fixed life insurance and annuity products. Applies insurance compliance expertise, regulatory judgment, and analytical problem-solving to resolve materials of varying complexity. Independently completes assigned deliverables, advises internal and external stakeholders, maintains regulator relationships, and mentors junior colleagues while meeting quality and timeliness standards.

Reviews employee records, labor agreements, title specifications, and payroll data to determine salary maturation and additions-to-gross eligibility. Processes HR payroll transactions, investigates and corrects overpayments and underpayments, responds to employee salary inquiries, supports audits and grievance processes, prepares reports, and coordinates with payroll, HR, and accounting teams on salary adjustments and recoupments.

Conducts complex compliance testing and monitoring reviews across banking operations. Analyzes compliance data, identifies regulatory risks and control weaknesses, develops testing methodologies, recommends corrective actions, oversees remediation, and validates issue resolution. The analyst also coordinates internal and third-party reviews, interprets financial regulations, and communicates findings to leadership, bank personnel, and regulators.

Plans and executes domestic and international compliance audits, analyzes data from SAP and other systems, assesses risks and controls, presents audit findings, communicates control themes, and supports investigations. The role partners with audit leadership and business stakeholders while applying IIA standards and compliance knowledge, including FCPA and healthcare regulations.

The GRC Senior Associate will manage multiple engagements, supervise team members, and ensure project objectives are met while interacting with clients. Requires accounting knowledge and project management skills.

Plans and performs risk-based compliance reviews, evaluates internal controls and business processes, identifies gaps and inefficiencies, and recommends corrective actions. The role monitors remediation, assesses control effectiveness, maintains policies and process documentation, supports workflow improvements, and collaborates with process owners and cross-functional teams. Additional responsibilities include ESG compliance support and special projects.

Supports compliance reporting, attestations, questionnaires, regulatory inquiries, RFP responses, due diligence, examinations, policy documentation, Code of Ethics administration, compliance testing, and surveillance. The role interprets regulations for business communications, assists with process enhancements and special projects, and collaborates with internal partners and senior compliance professionals within a global asset management firm.

Supports the compliance program for a multi-family office and investment advisory firm. Responsibilities include Code of Ethics monitoring, electronic communications surveillance, regulatory filings, risk assessments, audits, testing, remediation, compliance training, client and investor onboarding oversight, vendor management, cybersecurity and information security compliance, reporting, and cross-functional projects. The role requires experience with wealth management, private fund advisers, SEC regulations, investment adviser filings, and compliance program operations.

Reviews commercial loan insurance policies for compliance with loan documents, investor requirements, and lender standards. Analyzes coverage, limits, deductibles, and regional perils; communicates with borrowers, agents, and brokers to resolve deficiencies and bind adequate coverage. Monitors renewals, deadlines, portfolio status, regulatory changes, and service inquiries while using servicing and office software to complete insurance reviews.

Leads TP ICAP’s global Derivatives Compliance Advisory function across Rates, FX, money markets, and government bonds. Provides strategic regulatory guidance, manages international compliance teams, advises senior stakeholders, oversees new products and strategic initiatives, leads regulatory change and remediation programs, supports transaction reporting frameworks, delivers training, and represents Compliance at executive and regulatory forums.

Lead compliance support for crypto product development and launches, advising Product, Legal, Risk, Marketing, and Operations teams. Review product designs, customer communications, marketing materials, and operational processes for regulatory compliance. Develop compliance frameworks, advise on AML, sanctions, consumer protection, and financial crimes requirements, and support regulatory examinations, filings, testing, monitoring, and internal reviews.

Supports compliance governance, risk assessment, audit and exam activities, remediation tracking, dashboard governance, reporting, quality assurance, documentation, business continuity, and process improvement. The role partners with cross-functional stakeholders, facilitates governance meetings, communicates risk insights to leadership, and advocates for AI-enabled workflows using Google tools and related technologies.

Performs independent, risk-based compliance reviews as a second-line-of-defense tester. Tests business adherence to regulatory requirements, controls, data, and automation; analyzes data; documents results; manages review schedules; supports assessments, audits, and regulatory exams; and communicates findings to compliance and business stakeholders. The role also helps improve testing approaches and validates high-risk areas using data analytics and technology-enabled solutions.

Manage regulatory licensing, reporting, examination readiness, obligation inventories, control assessments, remediation tracking, and regulatory submissions for Mastercard’s payments and digital assets business. Coordinate with Legal, Compliance, Risk, Operations, Product, Finance, and business teams across U.S. and international jurisdictions. Prepare regulator communications, board and management reporting, compliance metrics, risk assessments, and evidence supporting examinations and licensing obligations.

Monitors U.S. and Canadian payroll compliance, regulations, tax filings, audits, controls, and employee pay accuracy. Investigates exceptions, manages corrective actions, supports SOX and regulatory audits, and coordinates payroll compliance for acquisitions and new entities. Maintains procedures, governance documentation, dashboards, and reporting while partnering with Legal, Finance, HR, vendors, and leadership to improve controls, reduce risk, and support payroll technology and transformation initiatives.

Monitor and resolve pre- and post-trade compliance alerts, maintain trading rules in the order management system, and analyze trade and position data using SQL. Automate compliance workflows with code and AI tools, maintain restricted securities lists, support MNPI processes, track regulatory developments, and assist with filings, audits, system upgrades, and compliance projects.

Reviews insurance products, forms, rates, rules, and filings for regulatory compliance. Monitors legal and regulatory changes, analyzes business impacts, supports regulatory change management, reconciles compliance data, verifies statistical reports, prepares SERFF filings, and advises stakeholders on compliance risks. Requires strong research, analytical, communication, organizational, and problem-solving skills, along with knowledge of property and casualty insurance products.

Supports compliance programs for investment advisers and broker-dealers by managing registrations, compliance reviews, testing, monitoring, regulatory filings, audits, policies, training, and marketing-material reviews. The role monitors investment and sales activities, interprets securities regulations, provides business guidance, escalates issues, and supports responses to regulators, boards, and supervisory entities.

Lead quarterly and annual tax provision under ASC 740, manage tax accounting close processes, oversee domestic and international filings, support tax credits and Section 174/382 analyses, forecast income and cash taxes, manage audits, and assist with transfer pricing and tax planning. Collaborate across the business to improve tax systems, processes, and reporting.

Leads Marvell’s IT SOX compliance program, including risk assessment, scoping, ITGC and ITAC testing, control documentation, audit coordination, remediation, training, and process improvement. The role supports technology implementations and partners with IT, internal audit, external audit, and business leaders. Candidates need 8+ years of IT SOX or IT audit experience, Oracle EBS expertise, and proficiency with audit platforms such as AuditBoard or Fastpath.