Top Compliance Jobs

Performs fraud detection, AML monitoring, alert investigation, suspicious activity escalation, regulatory interpretation, and financial crime risk mitigation. Develops fraud typologies, prepares investigation and management reports, maintains case records, collaborates with operational teams, and supports compliance process improvements. The role requires independent judgment, strong analytical skills, regulatory knowledge, and accurate documentation in a fast-paced fintech environment.

Leads external financial reporting, technical accounting, SEC filings, SOX compliance, internal controls, tax provision oversight, audits, and regulatory analysis. Manages reporting and compliance teams, partners with executives, Legal, auditors, and advisors, and presents accounting matters to leadership, the Audit Committee, and Board. Ensures accurate, timely, and compliant financial information under U.S. GAAP and SEC requirements.

Supports investment guideline compliance testing and reporting across KKR’s insurance asset classes. Responsibilities include reviewing compliance reports, launching sidecar processes, responding to client inquiries, performing scenario analysis, onboarding pre-trade compliance rules, automating analyses with AI, and ensuring data quality. The role partners with investment teams, portfolio managers, senior management, clients, and internal stakeholders.

Direct fiscal compliance and audit operations for NYC Aging. Responsibilities include planning fiscal and programmatic audits, monitoring subcontractor financial controls, reviewing audit findings, overseeing contract closeout teams, strengthening internal controls and risk management, preparing reports, developing policies, coordinating compliance training, evaluating compliance software, and advising leadership on regulatory adherence and operational improvements.

Manages wealth management compliance activities, including account reconciliations, regulatory reporting, compliance reviews, committee reports, RMD monitoring, ADV notices, and exception tracking. The role coaches team members, resolves complex compliance issues, improves processes, and provides backup for account opening, closing, and fee processing. Requires strong knowledge of investment and compliance regulations, analytical skills, attention to detail, and organizational ability.

Manage employee personal securities account onboarding, offboarding, data-feed connections, account statement collection, and compliance records. Communicate trading disclosure obligations, produce management reports, maintain operating procedures, and respond to regulatory, audit, and testing requests. The role requires strong organization, attention to detail, risk awareness, communication, and proficiency with Microsoft Office.

Supports risk and control consultation across business processes, identifies operational and strategic risks, monitors key risk indicators, and helps implement controls and corrective actions. The role supports internal and external audits, translates control deficiencies into action plans, enhances governance practices, monitors open issues, and ensures compliance with regulatory policies and procedures.

The Chief Compliance Officer leads the bank’s compliance risk management framework, advises executives and the Board on regulatory obligations, oversees policies, training, monitoring, remediation, and regulatory change management, and ensures compliance across business functions. The role also supports corporate governance, contracts, litigation management, product development, mergers, acquisitions, and other strategic initiatives while promoting practical, risk-based controls and customer-focused outcomes.

Manages subcontractor billing audits, payment processing, insurance and compliance documentation, payment releases, preliminary notices, sub-tier lists, bonds, and contract requirements across multiple construction projects. Resolves billing discrepancies, maintains records, analyzes subcontract terms, and collaborates with project teams, vendors, subcontractors, and finance teams using Textura and GC Pay.

Leads Coinflow’s enterprise compliance governance program across the US, Canada, and EU. Responsibilities include policy and control framework ownership, second-line BSA/AML testing, regulatory change management, sponsor bank coordination, audit and exam readiness, issue remediation, governance reporting, and compliance tooling rollout. The role partners with Risk, Legal, Engineering, Product, Underwriting, AML, and Operations while driving findings and action items to documented closure.

Lead day-to-day operation of the Compliance Management System, oversee transaction and BSA/AML monitoring, complaint and issue management, regulatory change implementation, third-party oversight, issuing bank liaison, compliance reporting, and training. Partner with legal, security, and product teams to embed compliance across the business and support examinations, audits, and remediation activities.

Monitors mutual fund investment compliance, reviews Charles River alerts, researches breaches, tests tax and regulatory requirements, and documents compliance activities. Supports prospectus and SAI guideline reviews, sub-adviser and service provider oversight, SEC and IRS compliance testing, regulatory filings, Board reporting, due diligence, and compliance projects. Communicates compliance guidance to sub-advisers and collaborates with internal partners under senior team supervision.

Leads a wealth management investment compliance team, overseeing regulatory compliance, fiduciary obligations, conflicts of interest, risk assessments, policies, procedures, training, and business advisory support. Manages staff performance and development, supports investment committees, implements the Corporate Compliance Program, advises stakeholders on applicable regulations, and escalates compliance risks. Partners with Corporate Compliance and contributes to strategic planning and special projects.

Ensures payroll, compensation, tuition assistance, workforce sponsorship, and forgiveness programs comply with regulations and organizational policies. Conducts internal audits, analyzes payroll and workforce data, develops dashboards and reports, monitors regulatory changes, maintains audit documentation, and implements corrective actions and controls. Provides compliance guidance and collaborates with Payroll, HR, Finance, Talent Acquisition, clinical departments, and operational leaders to maintain data integrity, mitigate risk, and improve processes.

Administers and monitors anti-money laundering software to support BSA/AML compliance. Responsibilities include system maintenance, configuration, upgrades, data quality, access management, performance testing, automation, database support, issue resolution, regulatory data requests, and recommendations for system changes. Serves as the subject matter expert for AML software and related databases while providing accurate information to compliance management.

Conduct complex enhanced due diligence and financial crime investigations for client relationships. Analyze transactions and large data sets for suspicious activity, document findings, recommend risk ratings or account closures, review prospective clients during onboarding, support regulatory examinations and audits, and assist with training and departmental assignments.

Leads operational and compliance audits, including risk assessments, audit scoping, control testing, SOX support, deficiency evaluation, and root-cause analysis. Partners with business teams and auditors to develop risk-mitigation plans, advise on transformation initiatives, and strengthen governance and controls. Uses data analysis, visualization, project management, and clear communication to present audit insights and recommendations to leadership and stakeholders.

Manages global import and export trade compliance, including tariff classification, country of origin, customs valuation, trade agreements, licensing, denied-party screening, documentation, audits, and duty savings. Coordinates with legal, supply chain, procurement, logistics, brokers, suppliers, and international affiliates. Develops compliance controls, policies, training, communications, corrective actions, and continuous improvement initiatives while supporting customs programs and regulatory adherence.

Supports the investment advisory firm's compliance program through regulatory monitoring, code of ethics oversight, filings, policy administration, risk assessments, forensic testing, due diligence, communications review, and examination readiness. The role evaluates compliance risks across products, marketing materials, transactions, and business initiatives; collaborates with legal, finance, operations, technology, and investment teams; and helps improve automated monitoring and reporting workflows.

Oversee and independently perform audits, including planning, control testing, issue management, reporting, and follow-up. Lead moderately complex audits, assess internal control effectiveness, identify risks and control gaps, communicate findings to stakeholders and management, and provide audit subject matter expertise. The role also involves maintaining audit standards, managing stakeholder communications, supporting initiatives, and coaching team members.

Performs and leads U.S. consumer compliance audits for banking governance, risk, and oversight functions. Executes control testing, walkthroughs, test scripts, issue identification, audit documentation, findings follow-up, and reporting. Evaluates internal control design and operating effectiveness, communicates with stakeholders and audit leadership, supports regulatory compliance reviews, and provides guidance to staff auditors. Requires an undergraduate degree and at least three years of relevant experience.

Lead River’s compliance program and team, serving as BSA Officer and owning BSA/AML, OFAC sanctions, regulatory testing, risk assessments, licensing, audits, and regulatory relationships. Drive the OCC national trust charter process, oversee compliance for new products, advise executives and the Board, and build scalable compliance systems for a rapidly growing Bitcoin financial institution.

Prepares and reviews complex retirement plan compliance tests, government filings, regulatory forms, plan documents, reconciliations, allocations, and corrective calculations. Researches and resolves testing and Form 5500 issues, supports audits, mentors team members, and helps develop standardized processes. The role requires detailed knowledge of 401(k), 403(b), nondiscrimination testing, coverage requirements, plan allocations, and related regulatory requirements.

Supports the Fair and Responsible Banking program through fair lending and UDAAP testing, comparative file reviews, policy reviews, monitoring analysis, risk assessments, corrective-action guidance, subject matter expertise, and compliance training for business lines and internal teams.

Operates and administers the organization’s Compliance Management System, including regulatory change management, compliance monitoring and testing, policy maintenance, complaint management, issue tracking, risk assessments, reporting, and examination support. Coordinates with business units, risk teams, Legal, and control partners; maintains compliance documentation and calendars; prepares reports; supports audits and regulatory examinations; and escalates significant compliance concerns.