Top Compliance Jobs

Perform onboarding and ongoing compliance oversight for Registered Investment Advisor (RIA) representatives, including U4/U5 and ADV 2B filings, monitoring Outside Business Activities, compliance testing, regulatory research, responding to inquiries, and coordinating with internal stakeholders to mitigate compliance risks.

Provide regulatory and compliance support to registered investment adviser clients, perform annual reviews under Rule 206(4)-7, maintain compliance programs and calendars, assist with regulatory filings (Form ADV, PF, 13F, etc.), conduct vendor and forensic testing, support regulatory exams, and help develop compliance policies, training, and risk assessment programs.

Lead enterprise payments compliance for merchant acquiring and processing, ensuring adherence to card network, sponsor bank, NACHA, PCI DSS and AML/BSA rules; partner cross-functionally, manage audits and reviews, maintain regulatory relationships, develop controls/training, oversee third-party and settlement compliance, and mentor compliance team.

Lead regulatory compliance activities within second-line Credit Risk, review controls and policies, manage regulatory issues and remediation, engage stakeholders, monitor regulatory changes, and translate requirements into control and process improvements to ensure adherence to US regulatory compliance framework.

Perform second-line quality control of the banks AML/CFT program, review suspicious activity reports, file CTRs, support FinCEN 314(a)/(b) reviews, assist audits and regulatory exams, and recommend compliance enhancements.

The Compliance Specialist ensures adherence to regulations, develops compliance programs, investigates ethical matters, and prepares reports for leadership.

The Energy Compliance Audit Supervisor will conduct audits for regulatory compliance in renewable fuels, prepare reports, analyze data, and liaise with clients.

Join Arootah's advisor network to provide fractional Chief Compliance Officer–level, project-based compliance leadership for hedge funds, private equity firms, and family offices. Advise on SEC/regulatory matters, design and improve compliance programs, conduct reviews and risk assessments, support exams and due diligence, and partner with leadership to strengthen governance and controls.

The Associate Director of Research Administration ensures financial management of research projects, oversees staff, develops policies, and maintains compliance with regulations, fostering a high-quality service environment.