Top Compliance Jobs

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.

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.

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.

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.

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.

Leads Americas FIC Compliance for an investment bank, managing compliance officers and advising fixed income and currencies businesses on securities laws, policies, controls, surveillance, investigations, audits, regulatory inquiries, risk assessments, and monitoring. Develops compliance talent, challenges business controls, supports governance forums, and manages senior stakeholder relationships. Requires substantial securities, derivatives, lending, fixed income, regulatory compliance, and people leadership experience.

Own AML compliance frameworks, taxonomies, and regulatory intelligence supporting Socure’s platform. Partner with Engineering, Data Science, Product, Sales, and Customer Success to translate OFAC, FATF, FinCEN, and global requirements into product strategy, customer guidance, and scalable advisory services. Support enterprise compliance due diligence, audits, regulatory inquiries, and customer program design while developing automation to reduce operational burden.

Conduct independent QA reviews of AML and financial crime investigations, including transaction monitoring, sanctions screening, EDD, and name screening. Evaluate decisions, documentation, regulatory adherence, and risk-based outcomes; identify defects and provide feedback. Analyze quality trends, prepare reports and dashboards, facilitate calibration sessions, support coaching and remediation, and recommend improvements to QA frameworks, workflows, scorecards, and controls. Participate in AML projects, UAT, process validation, and AI-enabled quality initiatives.

Reviews mortgage loan packages, underwriting documentation, data, and fees for regulatory compliance, accuracy, completeness, and salability. Captures and audits loan information, identifies discrepancies and exceptions, researches rebuttals, runs system validations, documents findings, and coordinates with internal teams to resolve issues and meet review timelines.

The Senior Compliance Analyst manages compliance issues, coordinates regulatory and agency changes, validates corrective action plans, and conducts post-implementation reviews. The role monitors remediation, maintains audit documentation, assesses regulatory impacts, updates policies and training materials, and collaborates with Legal, Risk, and business units. It requires strong analytical, communication, organizational, and regulatory knowledge, especially within financial services or mortgage servicing.

Own and develop the company’s SOX 404 and internal controls program, including scoping, documentation, control testing, deficiency evaluation, remediation, IT general controls, vendor SOC reviews, and external audit coordination. Partner with Finance, IT, security, and process owners to maintain PCAOB-compliant controls, support complex accounting areas, train stakeholders, implement SOX tooling, and report program status to leadership, the CFO, and Audit Committee.

Provides advanced financial and administrative support for oncology clinical trials and research programs. Manages study budget development, MCA negotiations, pre- and post-award finances, sponsor invoicing, grant tracking, CTMS oversight, and financial reporting. Ensures compliance with Baptist Health policies, research SOPs, NCI requirements, and sponsor guidelines while partnering with investigators, clinical operations, and finance leadership on trial startup, activation, and fiscal performance.

Participate in a 24-month rotational risk and compliance analyst program. Support framework and policy implementation, analyze risk information and trends, assist with governance reviews, reporting, documentation, and monitoring, and gain exposure to credit, market, liquidity, operational, technology, compliance, model, and enterprise risk. Collaborate with global teams while developing analytical, communication, judgment, and risk management skills.

Participate in a 24-month rotational analyst program supporting risk and compliance activities. Analyze information, identify trends, assess risk management practices, and assist with governance reviews, reporting, documentation, monitoring, and compliance efforts across credit, market, liquidity, technology, operational, model, and enterprise risk. Collaborate with global teams while developing analytical, communication, judgment, and risk management skills.

Participate in a 24-month rotational risk and compliance analyst program. Support risk frameworks, policies, oversight, monitoring, governance, reporting, documentation, and compliance activities. Analyze information and trends across credit, market, liquidity, technology, operational, model, and enterprise risk areas. Collaborate with global teams, identify potential risks, improve processes, and strengthen responsible decision-making.

Own and scale Anchor’s compliance operations across KYB/KYC onboarding, sanctions screening, transaction monitoring, fraud and AML investigations, documentation, audits, and regulatory updates. The role requires hands-on use of AI and automation to improve case triage, monitoring, documentation, and audit readiness while partnering with banking institutions, auditors, Product, and R&D teams.

Conduct first-pass compliance reviews of affordable housing resident files across LIHTC, HUD Section 8, and USDA programs. Apply established rules to income, assets, deductions, certifications, and recertifications; verify automated outputs; document findings; escalate ambiguous cases; support testing and UAT; and meet accuracy, volume, and SLA targets.

Leads IT compliance for usage-based revenue processes, including platform consumption controls, cloud partner reconciliations, SOX-ready engineering workflows, and paid-usage metering data governance. Partners with Engineering, Finance, Accounting, and Internal Audit to resolve discrepancies, assess revenue recognition impacts, automate reconciliation processes, and maintain reliable revenue datasets.

Leads Order to Revenue process compliance for a usage-based revenue engine. Oversees usage remediation, root-cause analyses, partner reporting, metrics, financial reserves, revenue recognition adjustments, SOPs, and cross-functional collaboration with Engineering and business teams. Ensures operational execution aligns with compliance requirements and partnership terms while improving financial accuracy and resolving recurring issues.

Leads order-to-revenue compliance for usage-based revenue, overseeing metering, billing controls, product launches, partner royalty reconciliations, SOX compliance, audits, technical accounting, and issue remediation. Manages functional leads and partners with Engineering, Finance Data Systems, Sales Operations, FP&A, executives, and auditors to validate monetization processes, resolve metering issues, and ensure accurate revenue conversion.

Manage and enhance Brex’s regulatory compliance program, including risk assessments, issue management, remediation oversight, compliance reviews, workflow tools, audits, bank partner reporting, and regulatory inquiries. Collaborate with Legal, People, GRC, auditors, and bank partners to ensure adherence to financial services regulations and internal policies. Support product change reviews, reporting, process improvements, and compliance governance.