Top Compliance Jobs

Advises the Individual Investors business on compliance programs, regulatory requirements, risk assessments, policies, controls, and issue resolution. Leads lower-risk compliance improvement projects, coordinates internal and external resources, supports regulatory inquiries and examinations, and researches industry rules. The role partners with business leaders and legal teams to recommend controls and enable compliant business growth. FINRA Series 7 and Series 24 registrations are required, with Series 24 obtainable within six months if needed.

Conduct escalated transaction-monitoring and financial-crimes investigations, draft and file SARs and UARs, recommend account actions, perform peer reviews, and improve AML workflows, controls, training, and quality standards. Partner with Compliance, Risk, Product, Engineering, Design, Data, and Operations teams to develop scalable automation and AI-enabled capabilities. Support sanctions, PEP, customer due diligence, and enhanced due diligence reviews in a fintech environment.

Leads compliance monitoring and testing within the second line of defense. Responsibilities include scoping reviews, interpreting regulations, executing testing plans, writing reports, identifying control gaps, advising senior stakeholders, improving compliance processes, and influencing risk-mitigation outcomes. The role requires independent judgment, strong communication and analytical skills, knowledge of Prudential, BSA/AML, Privacy, Financial Market Utility regulations, and familiarity with corporate compliance standards.

Supports broker-dealer and registered investment adviser compliance activities, including regulatory research, compliance reviews, trade surveillance, policy analysis, personal securities disclosures, audits, reporting, and documentation. The intern will analyze data, conduct investment product due diligence, assist with compliance training materials, and collaborate with leadership and cross-functional teams while gaining exposure to financial services regulatory programs.

Monitor and conduct compliance surveillance, assess product and transaction suitability, review client-facing marketing materials, advise Wealth Management teams on regulations and client issues, and support compliance projects. The role partners with Legal, Operations, business units, and divisional compliance teams while managing regulatory and reputational risk.

Leads lending compliance advisory activities for a bank, guiding personnel on regulatory requirements, assessing regulatory and control risks, supporting compliant product development, maintaining policies and training materials, monitoring issues and complaints, conducting root cause analysis, and communicating risks across functions. Manages compliance professionals, interprets federal and state regulations, develops oversight reporting, and leads cross-functional compliance initiatives.

Senior AML compliance officer supporting the Enterprise AML Compliance Officer across program strategy, sanctions compliance, transaction monitoring, escalation review, training, policy/risk assessments, regulatory readiness, and VAFA. Leads case oversight, sanctions investigations, alert program tuning, AML training design/delivery, metrics/reporting, and cross‑functional coordination to strengthen a risk‑based enterprise AML program.

Supervise the casino Compliance department and staff while maintaining adherence to tribal, federal, and state gaming regulations. Oversee AML/CFT monitoring, risk assessments, due diligence, investigations, data integrity, regulatory filings, training, audits, and corrective actions. Coordinate with regulators, auditors, and law enforcement; analyze data, prepare reports, and support responsible gaming and records-management programs.

Execute and assist the global financial crime systems testing plan. Validate transaction data flows into AML/KYC and sanctions screening systems (e.g., Actimize, HotScan, Fircosoft). Perform payment message data analysis, document process flows and IT compliance components, develop test cases, prepare findings reports, identify control and compliance issues, and support ad hoc testing tied to regulatory or infrastructure changes.

Manages U.S. partnership tax compliance, including Forms 1065, K-1s, state filings, allocations, basis, capital accounts, and partner reporting. Oversees tax accounting, financial reporting support, audits, notices, data administration, controls, filing calendars, and external tax advisors. Coordinates stakeholders across finance, accounting, legal, and business units while leading process improvements, system implementations, M&A tax projects, and recurring compliance cycles for multiple entities.

Prepares, reviews, and submits telecommunications regulatory compliance filings to the FCC, state public utility commissions, and other agencies. Coordinates with telecom clients to collect reporting information, analyzes financial and operational data, ensures accurate and timely submissions, and monitors regulatory changes. The role requires strong accounting, telecommunications compliance, utility regulation, mathematical, analytical, organizational, and Microsoft Office skills.

Manage federal and state tax compliance for diverse clients, including complex multi-state and foreign operations. Prepare and review worldwide GAAP ASC 740 income tax provisions, supervise engagement teams, review staff work, mentor employees, manage client relationships, support proposals, and ensure engagements meet deadlines and quality standards. The role requires advanced tax knowledge, strong communication and project management skills, and active CPA certification.

Reviews resident hard files, leases, tenant records, financial documents, and maintenance records for compliance with housing laws, fair housing requirements, safety regulations, and company policies. Identifies discrepancies, prepares audit reports, recommends corrective actions, collaborates with property management teams, supports compliance policies, and provides guidance and training on documentation and recordkeeping.

Oversee the bank’s regulatory compliance program for lending and deposits, including policy development, risk assessments, complaint management, HMDA reporting, regulatory exam preparation, staff training, and compliance supervision. The role coordinates with legal counsel and leadership on products, interprets regulatory updates, supports committees, and ensures adherence to federal and state requirements.

Supports regulatory compliance for a specialty property and casualty insurer. Responsibilities include monitoring legal and legislative changes, maintaining authority to do business across jurisdictions, coordinating insurance filings and reports, managing surplus lines tax information, responding to regulatory complaints, and reviewing policy forms for compliance. The role also communicates regulatory guidance internally, tracks deadlines, and supports compliance projects.

Own and scale Credit Genie’s consumer finance compliance program. Responsibilities include monitoring regulatory developments, reviewing products and disclosures for consumer protection compliance, supporting AML/KYC programs, engaging regulators and auditors, managing complaints and remediation, embedding compliance into product development, educating employees, and preparing risk and performance reporting for leadership and the Board.

Provides customer service and regulatory compliance support for surplus lines insurance clients. Responsibilities include preparing and filing surplus lines tax reports and payments, coordinating with state regulators, managing client communications, overseeing processing tasks, training team members, resolving escalated issues, and collaborating with accounting and internal teams.

Executes day-to-day residential mortgage compliance operations, including NMLS licensing, regulatory filings, complaint intake, SAR review support, audit preparation, examination logistics, and remediation tracking. Reviews loan files for compliance and suspicious activity, maintains documentation, drafts complaint responses, and collaborates with quality control and fulfillment teams. Supports SOP updates based on regulatory findings and changes.

Provides compliance coverage for Global Banking & Markets equities flow and strategic derivatives businesses. Advises sales, trading, and strategy teams on broker-dealer, swap dealer, securities-based swap, and derivatives regulations. Develops policies, procedures, training, risk assessments, and compliance action plans; oversees surveillance and reviews; supports regulatory examinations, audits, inquiries, and cross-divisional initiatives; and evaluates new laws, regulations, and business initiatives.

Oversee organizational billing operations and contract compliance, ensuring accurate and timely invoicing, adherence to financial requirements, strong internal controls, and effective policies. Manage and develop a four-person billing team, monitor compliance risks, collaborate with leadership and program staff, and support budgeting, forecasting, and financial analysis.

Advise US broker-dealer businesses on SEC and FINRA requirements, develop and maintain compliance programs, conduct risk assessments, monitor vulnerabilities, analyze regulatory changes, implement controls, and support the Chief Compliance Officer with reporting, remediation, and process enhancements.

Provide fractional compliance advisory to alternative investment firms and family offices: develop and implement compliance programs, Form ADV filings, policies, controls, training, regulatory exam readiness, risk assessments, remediation, and ad-hoc projects.

Coordinates firm-wide billing compliance by reviewing bills and matter setup, auditing adherence to client and firm requirements, managing billing requests and reports, and supporting process improvements across Intapp systems. Collaborates with billing, conflicts, pricing, eBilling, collections, and financial services teams. Requires legal billing, general accounting, and financial systems experience, along with proficiency in legal accounting and document management systems.

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.

Manages pricing administration, price change forms, pricing databases, contracts, bids, and compliance with RFP requirements. Performs profitability, freight, tariff, margin, cost variance, budget, forecast, and financial reporting analyses. Supports manufacturing accounting, plant budget reviews, accruals, financial statement schedules, and projection-to-actual bridges. Requires strong Excel, communication, writing, analytical, organizational, and presentation skills.