Top Compliance Jobs

Lead fiduciary tax reporting and compliance for Wealth accounts: develop controls, review vendor deliverables, manage triggering-event and prospective client tax reviews, oversee filings (1041, 706, Schedule R), handle IRS/state controversies and refund recovery, improve processes and controls, and advise internal stakeholders on complex tax issues.

Manage the bank's Compliance Management Program, oversee regulatory policy implementation, perform risk and compliance assessments, lead fair lending, CRA and examination activities, consult on new products and marketing, and train business units to ensure regulatory adherence and risk mitigation.

Lead IFRS financial reporting and compliance across North America, align accounting policies, support IFRS implementation, manage intercompany/inventory/manufacturing accounting, strengthen SOX/internal controls, partner with auditors, drive ERP (SAP) and reporting improvements, and support month-end and year-end close.

Support compliance monitoring, testing, and branch audits for acquired firms during integration. Conduct risk assessments, audits, and branch exams; identify trends, document workpapers, track remediation action plans, assist policy development, and report to Compliance leadership while staying current on regulatory developments.

Support oversight of regulatory and other risks for Mercer Investments in Ireland: monitor investment breaches, review fund documentation and managers, liaise with depositary, run due diligence and personal trading controls, approve marketing/RFPs, conduct compliance monitoring, training, and regulatory correspondence.

Review and ensure retirement plan document compliance for new clients, consult on plan design, prepare document packages, update CRM, quality-review peer documents, lead process improvements and training, support internal partners and client calls, and transition all plan types (DC, DB, NQ).

Manage fiduciary governance and plan compliance for assigned retirement plans: respond to sponsors/participants, process payroll uploads and recordkeeper forms, monitor plans monthly, perform year-end testing and 5500 audit support, prepare plan assessments, notices, and 404(a)(5)/408(b)(2) disclosures.

Perform nondiscrimination testing and Form 5500 reporting for defined contribution plans to ensure qualification and compliance with IRS limits. Analyze client census data, calculate employer allocations and projections, perform ADP/ACP, Top Heavy, Coverage, Compensation and other tests, prepare government filings and audit packages, identify compliance issues, recommend corrective actions, and support internal and external partners.

Senior specialist responsible for ERISA-qualified retirement plan compliance: perform and quality-review nondiscrimination testing, QDRO and death distribution reviews, update compliance materials, resolve escalated technical issues, support plan design and onboarding, and maintain expert knowledge of qualified plan regulations and department procedures.

Lead the compliance function for advertising, lending, branch operations, and product/service reviews. Develop and maintain policies, conduct monitoring and investigations, provide regulatory guidance and training, manage and mentor the compliance team, and report compliance activities to senior management and regulators to ensure adherence to NCUA/CFPB rules.

Lead and manage federal and state tax compliance and advisory engagements for diverse clients. Review complex returns, identify tax planning opportunities, maintain client relationships, supervise and mentor staff, manage engagement budgets and timelines, and collaborate with CAAS, Audit, and Advisory teams to ensure accurate, timely delivery and compliance.

Provide compliance coverage for equity and debt capital markets: advise on private placements, underwriting and liability management; develop policies and procedures; advise on cross-border and Reg BI issues; monitor MNPI, conflicts and wall-crossing; deliver training; support regulatory developments, exams and audits; partner with senior business leaders to embed compliance into transactions and risk decisions.

The Compliance Auditor will conduct compliance audits, prepare summaries, and provide recommendations for audit reports.

Manage and strengthen the RIA compliance program: design and maintain policies, ensure exam readiness, monitor portfolios and controls, perform risk assessments and testing, prepare governance reporting, handle regulatory reporting and ad-hoc projects, supervise and guide junior compliance staff, and partner with senior leaders and the Investments CCO.

The Financial Planning & Analysis Compliance Manager will lead budgeting, forecasting, and compliance efforts, support audits, and develop financial models and reports.

Lead uplift of risk and compliance frameworks and policies, identify and mitigate operational and regulatory risks, monitor controls, produce evidence packs, engage stakeholders across Line 1/2/3, and support BAU R&C activities for a regulated financial services environment.

Perform day-to-day compliance functions for a deposits portfolio, including testing, monitoring, risk assessments, vendor compliance, policy maintenance, and regulatory research. Prepare documentation and reports, communicate findings to management and the Board, support regulatory change management and exams, and assist in remediation and root-cause analysis.

The Head of North American Compliance oversees KBRA's regulatory compliance, manages a compliance team, and enhances internal controls and processes. Responsibilities include regulatory reporting, managing inquiries, and collaborating with stakeholders to improve compliance programs.

Support compliance governance and monitoring: administer controls certification, issues and remediation tracking, regulatory inventory and policy reviews, prepare periodic reporting, manage contract compliance monitoring, and coordinate with stakeholders to close actions.

The Senior Compliance Analyst will support technology compliance, design reports, engage with stakeholders, and enhance internal controls related to financial regulations.

Lead Transfer Agency compliance for North America, ensuring regulatory filings and controls (17Ad-16, TA-1/TA-2, Rule 22c-2), manage audits, vendor oversight, regulatory change implementation, training, and stakeholder escalation while driving process improvements and governance.

The Audit Manager oversees audits, ensures compliance with standards, manages communication with stakeholders, and provides subject matter expertise.

Conduct on-site and remote compliance inspections, surveillance, and audits for branch and home office units; support trade reviews, advertising/marketing reviews, Form ADV compliance, supervisory policy updates, regulatory examinations, and employee compliance education. Travel ~30-40%.

Perform business acceptance and user acceptance testing for regulatory changes, schedule and validate pre/post-production updates, create and maintain loan test scenarios and regression test models, update compliance content and customer notifications, support implementation with customer support teams, and assist with testing and training via proprietary AI tools.

The Tax Compliance Manager will oversee tax compliance, reporting, and planning, manage filings, coordinate with auditors, and maintain tax processes.