Top Compliance Jobs

Oversee AML and fraud investigation compliance for Wise’s US and Canada operations. Advise teams on BSA, AML/CTF, OFAC, and related regulations; maintain the financial crime oversight framework; challenge controls and product changes; support SAR governance, risk assessments, regulatory engagement, horizon scanning, and risk mitigation. Monitor compliance metrics and escalate issues while partnering with operational, product, regulatory, audit, and senior stakeholders.

Leads compliance surveillance investigations involving insider trading, market manipulation, penny-stock fraud, money laundering, terrorist financing, and securities-law violations. Determines whether suspicious activity warrants SAR filing, drafts case memoranda and SAR narratives, prepares regulatory forms, manages investigative caseloads, collaborates across business groups, and supports special projects while maintaining confidentiality and accuracy.

Leads 5–7 Field Supervision Managers, strengthening supervisory practices, regulatory compliance, risk management, disciplinary processes, enhanced supervision, financial monitoring, and review readiness. Partners with field, zone, and Home Office leaders to resolve complex supervisory matters, improve operational controls, monitor performance, and drive consistent execution across New York Life’s agency distribution system.

Manage regulatory product compliance and risk for Wise’s US and Canadian products. Partner with product and engineering teams on compliance risk assessments and controls, support issue remediation, improve customer-facing processes, contribute to quarterly risk assessments and leadership reporting, and use data analytics to develop key risk indicators. Requires cross-border payments experience, regulatory expertise, and US work authorization.

Leads enterprise-wide AML and sanctions compliance for Global Banking, developing requirements, policies, standards, and controls. Advises business and sales teams on KYC, OFAC, anti-corruption, financial crime risks, new products, transactions, and strategic initiatives. Assesses clients, geographies, products, and controls; addresses findings; monitors regulatory developments; supports senior committees; and drives process improvements and automation. Requires deep CIB product knowledge, digital asset experience, regulatory advisory skills, and the ability to influence senior stakeholders.

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.

Leads Americas Employee Compliance Advisory, managing a regional team and advising employees, senior leaders, and Legal and Compliance partners on personal trading, private investments, outside business activities, gifts, entertainment, political contributions, and conflicts. Oversees complex risk matters, strengthens policies, controls, governance, training, and processes, monitors regulatory developments, supports examinations and audits, and drives data and technology improvements across the compliance framework.

Manages regulatory and operational issue lifecycles, customer remediations, root cause investigations, controls assessments, documentation quality reviews, deadlines, escalations, and audit-related data requests. Partners cross-functionally to address compliance requirements, improve issue management processes, and prevent recurrence of business and system issues.

Leads personal independence compliance work, including regulatory interpretation, risk assessments, internal control reviews, monitoring, issue escalation, process improvement, reporting, and stakeholder communication. Manages project delivery, coaches team members, reviews compliance evidence, identifies conflicts and control gaps, and translates regulatory changes into operational actions.

Provides independent compliance oversight for valuation and appraisal regulatory requirements. Conducts risk-based reviews, assesses compliance risks in products and processes, evaluates valuation frameworks and controls, supports audits and remediation, advises stakeholders, participates in governance forums, and monitors regulatory developments. The role requires strong judgment, regulatory expertise, communication skills, and extensive experience in valuation, appraisal, collateral risk, compliance, controls, or risk management.

Oversee JPMorganChase’s conduct risk management and risk appetite frameworks. Lead governance meetings, assessments, stakeholder communications, challenge reviews, approvals, and quarterly risk appetite processes. Analyze qualitative and quantitative data, manage controls testing and audits, maintain framework documentation, enhance supporting tools, and develop team members. The role partners with business lines, corporate functions, HR, compliance, and product owners to identify, monitor, report, and mitigate conduct risk.

Performs payroll tax compliance validations, reconciliations, discrepancy investigations, root-cause analysis, and issue resolution. Maintains audit-ready documentation, supports SOX and SOC controls, coordinates with tax agencies, vendors, auditors, and internal teams, and assists with system implementations, data conversions, and user acceptance testing. Uses SQL, automation, and AI to improve validation, reporting, controls, and operational effectiveness.

Executes risk-based compliance control testing across business lines, focusing on privacy and enterprise services. Analyzes test data, validates controls, documents findings, reviews peer testing, manages schedules, identifies process improvements, and presents final reports. The role requires collaboration with compliance advisors, risk offices, and business partners, along with knowledge of international privacy regulations and strong analytical and communication skills.

Build and operate the US tax reporting and federal income tax compliance function. Hands-on ownership of ASC 740 provision, federal consolidated return oversight, tax controls, SOX execution, audit and controversy support, advisor management, data and process improvements, and designing a scalable operating model and future team structure.

Owns vendor master data compliance workflows, reviewing and approving vendor records, validating banking, tax, legal, and business information, and maintaining audit-ready documentation. Performs third-party validations using GIACT, TIN Check, and Dun & Bradstreet; audits VMDM and ERP updates; resolves data violations; ensures SLA and segregation-of-duties compliance; and partners with vendors, banking institutions, and internal teams. Provides subject-matter expertise and training on master data management, quality assurance, and compliance processes.

Supports regulatory compliance programs for SMB and consumer lending businesses. Responsibilities include researching consumer protection laws, responding to compliance inquiries, conducting diligence and risk reviews, supporting audits and testing, identifying operational gaps, performing root cause analysis, and implementing policy and process changes. The role coordinates with business units and advisory teams while monitoring compliance with lending regulations such as UDAP/UDAAP, ECOA, FCRA, TILA, and TCPA.

Supports global payroll operations, compliance, tax, reconciliations, reporting, and audit readiness across multiple regions. Analyzes payroll data, identifies discrepancies and risks, develops dashboards, manages controls and documentation, and partners with regional teams, Finance, Tax, HR, and external vendors. Also supports payroll programs, system implementations, UAT, process improvements, and third-party service delivery.

Oversee U.S. state and local income tax compliance, filings, forecasting, tax accounting, planning, audit defense, and compliance processes. Coordinate with external providers, review tax calculations and workpapers, monitor legislative developments, provide tax guidance to management, and improve compliance procedures. The role requires strong state tax expertise, ASC 740 and U.S. GAAP knowledge, communication skills, and experience in a large public accounting firm or multinational corporation.

Lead Wells Fargo’s Futures Commission Merchant compliance program, advising senior Markets and Front Office leaders on regulatory and business matters. Build and mentor a high-performing compliance team, strengthen risk frameworks, identify emerging risks, oversee regulatory change and compliance monitoring, and partner with Legal, Audit, Risk, and domestic and international regulators. Drive enterprise-wide compliance strategy, organizational change, and sound risk-based decision-making across a highly regulated financial markets environment.

The Compliance Manager provides second-line compliance oversight and risk management support for insurance and financial services businesses. Responsibilities include advising business leaders, assessing regulatory and emerging risks, conducting risk-based testing and monitoring, evaluating controls, escalating deficiencies, driving remediation, and partnering with Legal, Internal Audit, and operational risk teams. The role requires strong knowledge of insurance regulations, independent judgment, communication skills, and the ability to influence stakeholders in a hybrid environment.

Lead compliance for prime brokerage and equities: develop and enforce regulatory policies, monitor trading and brokerage activities, manage risk and controls, liaise with regulators, and lead a compliance team to ensure adherence to SEC/FINRA and internal standards.

Leads the compliance program for Cash App Investing’s FINRA- and SEC-regulated broker-dealer business. Responsibilities include developing policies and controls, overseeing supervisory procedures, regulatory filings, communications review, complaints, examinations, remediation, AML coordination, vendor oversight, governance reporting, and regulator engagement. The role advises product, engineering, legal, marketing, and operations teams while building and managing a high-performing compliance organization.

Supports Corporate Audit, Risk Management, and Corporate Compliance through internal control testing, risk indicator reporting, policy reviews, regulatory research, monitoring procedures, and stakeholder presentations. Interns gain exposure to governance, regulatory oversight, ethical operations, and risk management while collaborating with professionals across these departments. The 10-week hybrid program is intended for enrolled undergraduate students graduating between December 2027 and May 2030.

Supports corporate risk management and compliance through management reporting, metric analysis, controls oversight, remediation tracking, stakeholder coordination, and executive-ready presentations. Leads projects and ad hoc analyses, communicates priorities across teams, identifies trends and breaches, and organizes evidence for control closure. Requires strong organization, analytical judgment, communication, and advanced PowerPoint and Excel skills.

Perform KYC, customer due diligence, and consumer compliance case reviews for Mastercard’s Open Finance business. Manage case queues, refresh reviews, documentation, risk ratings, escalations, and service-level commitments. Track KPI and KRI reporting, review sales pipelines for higher-risk customers, identify automation opportunities, and support cross-functional compliance projects. Apply KYC and AML requirements across banking, payments, and financial-services operations.