Top Compliance Jobs

Support organizational financial health through budgeting, financial reporting, grant compliance, and analysis. Develop and monitor program budgets, prepare donor and grant financial documentation, ensure federal/state/contractual compliance, assist audits, and communicate financial insights to program staff and leadership.

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.

Design, implement, and operate Mercury's prudential regulatory compliance program (initial focus on Regulations W and O). Build policies, controls, governance, and monitoring; advise senior management; partner cross-functionally; provide training; and maintain compliance documentation to support bank charter readiness.

Manage post-award grant financials and compliance for housing and homeless services: prepare drawdowns and reimbursements, manage grant receivables, reconcile to the general ledger, monitor budgets and spend-downs, maintain audit-ready documentation, support audits and Single Audit requirements, and coordinate with program and finance teams and external funders to ensure regulatory compliance.

Serve as the payroll compliance subject-matter expert for assigned jurisdictions. Interpret payroll, tax, social security, labour, and employment legislation; translate requirements into product and operational solutions; advise stakeholders; conduct compliance assessments and audits; build scalable compliance frameworks, rules libraries, and automation; and train and mentor cross-functional teams to ensure compliant payroll products at scale.

Support the Compliance Department with branch examinations, AML monitoring, associate disclosures, customer complaints, data collection/analysis, and general compliance administration. Assist examiners on onsite/virtual reviews, respond to inquiries, and help enforce firm policies while learning industry regulations and obtaining required licensure.

Coordinate and respond to state and federal regulatory examinations; develop and implement corrective action plans and root cause analyses; prepare written responses and internal reports; schedule follow-up audits and monitor remediation effectiveness; liaise with regulators, Chief Compliance Officer, counsel, and business units to ensure ongoing compliance.

Prepare and submit federal tax returns and estimates, support year-end tax provision and forecasts, research tax regulations, perform GL account analysis and reconciliations, maintain tax software, and support state tax compliance and audit documentation.

Analyze and review customer identification, OFAC and exception reports, and account activity to ensure compliance with AML, BSA, and CIP requirements. Perform customer due diligence, document findings, investigate discrepancies, support supervisors and operations, and communicate with advisers and regulators as needed.

Support compliance program by reviewing registered representatives communications and trade practices, identifying exposures, advising reps on policies, monitoring outside business activities, updating surveillance policies, maintaining compliance records, and supporting system modifications (Access, Purview, trading surveillance). Participate in investigations, examinations, and cross-functional projects.

Review and approve marketing and advertising materials for proprietary and third-party funds and advisory programs to ensure FINRA and SEC compliance; draft disclosures; submit materials to FINRA and manage correspondence; advise broker-dealer and investment advisers on marketing issues; assist with preparation and amendments of Form ADV filings.

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.

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

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.

Lead SEC periodic reporting and EDGAR filings, develop and test SOX internal controls, coordinate audits, research complex technical accounting (ASC 606/718/805), support investor relations and Audit Committee, and partner cross-functionally on disclosures and special transactions.

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

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

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

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.

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.

Perform customer due diligence and rapid risk assessments for prospective clients, triage and evaluate AML referrals, administer internal watch lists, recommend onboarding decisions, escalate investigations, and mentor junior staff to support the firms AML compliance program.

Lead execution and administration of compliance testing for fiduciary/trust activities within IRRA. Partner with business units, risk, compliance and audit to assess controls, identify weaknesses, recommend remediation, and communicate testing results. Provide oversight and coaching to supporting analysts and ensure compliance with fiduciary laws and regulations.

Senior leader responsible for global tax reporting, ASC 740 accounting, compliance governance, and tax operating model transformation. Partners with Finance, Legal, Treasury and auditors to ensure accurate tax provision reporting, SOX controls, automation and AI adoption, and scalable processes across jurisdictions while leading a global tax team.

Manage company indirect taxes and compliance including sales/use, alcohol, and tangible taxes. Prepare filings, respond to regulators, reconcile accounts, research tax rules, maintain licenses, and coordinate with operations and accounting.