Top Compliance Jobs

The Executive Manager for Financial Crime Compliance oversees regulatory engagements, designs compliance frameworks, and manages financial crime incidents. This leadership role involves strategic advisory, policy development, and enhancing governance in AML, CTF, and related fields.

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.

Prepare and file federal, state, and local payroll tax deposits and returns on schedule; research and resolve tax notices and discrepancies; support client onboarding and payroll tax account setup; process tax payments, refunds, adjustments, and year-end reporting; respond to client and internal payroll tax inquiries; assist with administrative tasks and finance projects.

Lead compliance, systems controls, and internal audit workstreams—plan and execute operational, compliance, and limited-scope financial audits; evaluate policies, controls, and system configurations; identify control gaps and risks; support policy development; guide and train team members; and recommend process improvements and automation to strengthen internal controls and operational efficiency.

Lead compliance strategy for platform businesses, including framework development, risk assessments, regulatory advice, and monitoring systems. Collaborate with sales and product teams to integrate compliance as a key feature.

Lead and maintain the casino's AML and compliance program, oversee monitoring, investigations, SAR/CTR filings, risk assessments, controls, audits, and regulatory relationships. Manage and develop compliance staff, provide role-based AML training, ensure adherence to Title 31 and MICS, and prepare reports for the CFO.

Drive risk and compliance activities for finance and supply chain: perform risk management and reporting, due diligence, remediation and corrective action planning, user access management, SOX compliance, and partner with stakeholders and global teams to implement controls and support audits.

Lead payments governance, risk, and compliance teams to develop and maintain enterprise payment compliance programs; manage regulatory, internal, sponsor bank audits; implement controls, policies, KYC/OFAC/AML processes; oversee multi-state licensing, FINCEN/MSB obligations, training, remediation, and cross-functional compliance for payment products.

Support compliance for Robinhood’s debit, spending, and credit products by analyzing regulatory changes, reviewing disclosures and marketing, managing disputes and complaints, coordinating with sponsor banks and partners, supporting audits and exams, and embedding regulatory requirements into product development and policies.

Review and approve high-volume marketing and investor-facing content for SEC Marketing Rule compliance; conduct vendor due diligence and AI governance oversight; support books-and-records, testing, monitoring, and compliance program documentation; partner with stakeholders on training, disclosures, and remediation; manage compliance-related vendor relationships and projects.

Perform contract compliance audits (royalty, franchise, vendor, lease, revenue participation); analyze franchisee/licensee financials; research related parties; manage project timelines and client communication; prepare work papers and written reports detailing findings and fee recalculations.

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.

Perform compliance reviews of new originations and high-risk loans, respond to outside audits and investor file requests, review contractor bids and comparables, validate evaluator submissions, correct identified issues with internal/external contacts, and support department manager with assigned duties.

Lead mortgage origination compliance by interpreting federal and state regulations, implementing policy and systems controls, performing loan testing and marketing reviews, managing staff, training employees, and coordinating with Legal and business units to remediate compliance issues.

Review mortgage forms, disclosures, and documents to ensure compliance with HMDA, Regulation B, TRID, and RESPA. Track compliance questions, monitor AllRegs for updates, advise loan officers and managers, compile reporting information, and assist with policies, procedures, and companywide training.

Ensure merchant and payment processing compliance with card network rules and regulations. Manage card brand violations (Visa VIRP, Mastercard BRAM), draft remediation and representment plans, perform KYC/KYB reviews, investigate alerts, maintain documentation for audits, and support policy updates.

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.

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

Provide compliance coverage for Controllers, Tax, and embedded Operations in Dallas. Identify and assess compliance risks; monitor regulatory changes; perform surveillance, investigations, and forensic reviews; draft policies; support regulatory examinations; leverage data analytics to generate insights; and present findings to senior leaders.

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.

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

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

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

Lead and manage the end-to-end SOX compliance program: scope and execute annual testing, maintain the Risk and Control Matrix, perform risk assessments, test ITGCs and application controls, coordinate with external auditors, remediate deficiencies with cross-functional partners, and drive process and documentation improvements using technology.

Manage a portfolio of self-employed clients: prepare, review, sign, and file federal and state tax returns (1040, 1120-S); mentor and train junior tax staff; research and interpret tax laws; produce technical memos and compliance reports; collaborate cross-functionally and maintain knowledge of multi-state tax matters.