Top Compliance Jobs

The Investment Compliance Consultant ensures adherence to compliance regulations, supports regulatory filings, monitors compliance practices, assists in risk management, and provides administrative support for compliance programs.

Serve as second-line compliance advisor for US Card business, providing regulatory guidance (Reg Z, Reg B, FCRA, UDAAP), performing control assessments, advising on product/process changes, supporting compliance testing and remediation, participating in governance and reporting, and partnering with business leaders to integrate compliance into strategy and operations.

Lead quality assurance for AML compliance testing: review testers' work, develop and validate test plans, manage reporting and audit deliverables, train and coach staff, integrate regulatory changes, pilot testing tools/AI methods, coordinate data sourcing, and provide status and insights to stakeholders.

Work daily on transaction monitoring: review alerts, conduct KYC/KYB and enhanced due diligence, investigate cases, draft SAR narratives, send RFIs, support KYC refreshes, and improve policies while staying current on FinCEN/FATF guidance.

Execute KYC/KYB onboarding and transaction monitoring: verify documents, analyze beneficial ownership, sanctions/PEP/adverse media screening, conduct enhanced due diligence, draft SARs, send RFIs, perform KYC refreshes, support policy improvements, and monitor emerging financial crime trends including on-chain analytics.

Lead design and management of resiliency controls and frameworks for technology, cyber, and third-party risks across APAC. Oversee testing, scenario analysis, and recovery drills; assess controls, advise stakeholders, support regulatory exams, and integrate resiliency into SDLC and architecture.

Manage client engagements for private foundations, ensure quality and technical expertise in tax compliance, and provide consulting services. Lead administrative duties and foster client relationships while supporting firm growth and practice development initiatives.

The Lead Analyst, Product Compliance ensures compliance in product lifecycle, conducts risk assessments, collaborates with teams, and develops compliance processes for Circle's Payments product.

Monitor and enforce U.S. Government financial compliance (FAR, CAS, GAAP/SOX); identify and remediate control weaknesses; support CAS remediation; develop compliance training and communications; liaise with DCAA/DCMA during audits; educate teams and drive continuous improvement.

Lead risk and compliance activities for a high-risk banking environment: prepare for audits and regulatory exams, draft policies and governance, evaluate internal controls, run risk assessments and gap analyses, maintain training, monitor regulatory changes, and produce KRI/KPI Board-level reporting.

Lead and mature end-to-end SOX compliance program including scoping, risk-control matrices, testing, remediation, governance, external audit liaison, automation, and team leadership to ensure ICFR effectiveness in a complex technology environment.

Advise business partners on third-party compliance risk across the vendor lifecycle. Perform pre-contract due diligence and compliance assessments, execute quality assurance for the TPC program, support audits/exams, partner with supplier and risk teams to improve controls, and lead process and toolkit improvements.

Execute risk-based consumer compliance transaction testing to validate adherence to the Enterprise Complaints Standard. Analyze multi-source data, document results, review peers' tests, manage testing schedules, develop large-population testing approaches, and communicate findings to Compliance Officers while partnering with business areas and compliance advisors.

Manage tax planning, compliance, and reporting across a multi-entity organization. Serve as primary tax authority, coordinate with external advisors, oversee partnership and indirect tax compliance, maintain filing calendar, handle information reporting (1099/1042), support international tax matters, liaise with government authorities, and improve tax processes and controls.

The Fund Controller manages fund accounting accuracy and consistency, collaborates with teams, and oversees compliance and audit partnerships.

The Market Manager drives revenue and profits across branches, manages compliance, leads recruitment, and builds cohesive teams while ensuring superior client service.

Own and build mortgage compliance for a new multi-state lending business: administer the CMS, manage NMLS licensing, prepare regulatory filings (HMDA, MCR, state reports), resolve loan-level compliance issues, lead exams and remediation, run BSA/AML program including SAR/CTR filings, track regulatory changes, and partner with legal, ops, and tech to enable compliant, tech-forward lending.

The FinCrime Product Compliance Senior Manager focuses on developing scalable processes for managing financial crime risks, collaborating with product teams, and ensuring compliance for Wise's Platform products in North America.

Support design, implementation, and operation of Affirm Bank's BSA/AML and compliance technology. Build and test transaction-monitoring rules, case-management workflows, dashboards, and controls; analyze alerts and control performance; maintain documentation; coordinate across Compliance, Product, Engineering, Data, and vendors to ensure audit-ready, scalable compliance systems.

The KYC Associate is responsible for client onboarding, KYC compliance, documentation verification, risk assessment, and managing client relationships in accordance with regulatory standards.

Lead enterprise-wide compliance and financial-crime risk assessments, evaluate controls and residual risk, produce executive reports, partner with MLROs/CCOs globally, drive transaction monitoring and customer risk scoring coverage, update geographic risk ratings, develop threat assessment frameworks, and pioneer AI-powered automation while maintaining human oversight.

The Senior Audit Director will lead internal audits for BBH's Investor Services, manage teams, advise on risk and control issues, and represent the department at senior management forums.

Lead and scale AMER regional AML/financial crime compliance, act as regional MLRO liaison with federal and state regulators, provide compliance sign-off on high-risk decisions, advise on licensing and product compliance, oversee local operations and reporting, and deliver regional training to enable compliant market expansion.

The Director of Regulatory & Compliance will lead the Governance, Risk, and Compliance strategy, manage regulatory obligations, and support product compliance in a remote setting.

Execute end-to-end risk-based operational and compliance audits (scoping, testing, reporting, remediation validation). Identify control gaps, perform root cause analysis, draft actionable recommendations, manage audit requests and stakeholders, validate remediation, and partner with Operations, Compliance, Risk, Finance, and Legal while maintaining third-line independence.