Top Compliance Jobs

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.

Manage and enhance Brex’s regulatory compliance program, including issue management, risk assessments, product change reviews, workflow tools, audits, bank partner reporting, and remediation oversight. Collaborate with Legal, People, GRC, auditors, and bank partners to meet regulatory and partner obligations. Support compliance processes covering card, lending, deposit, BSA/AML, KYC, and regulatory change management.

Manage and enhance Brex’s regulatory compliance program, including compliance issue management, risk assessments, remediation oversight, product and material-change reviews, workflow automation, audits, bank partner reporting, and regulatory inquiries. The role collaborates with Legal, People, GRC, auditors, and bank partners to maintain compliance with financial services regulations and internal policies.

Supports investment teams by monitoring transactions and holdings for compliance with client guidelines and regulatory requirements. Reviews investment management agreements, evaluates client guidelines, maintains the Sentinel monitoring system, provides real-time pre-trade support, resolves post-trade exceptions, and collaborates with relationship, product management, and portfolio management teams.

The Senior Wealth Advisor manages client relationships, delivers wealth management services, and supports growth through referrals and marketing, all in a remote, independent capacity.

Audits revenue documentation, reconciles client records, and ensures compliance with accounting policies, carrier agreements, SOX, tax regulations, and GAAP. Collaborates with internal teams to resolve documentation discrepancies, prepares accounting reports, presents findings, supports policy and process improvements, and guides junior and offshore staff. The role also provides functional training and advice while managing multiple priorities in a hybrid work environment.

Manage securities compliance and supervision programs for broker-dealer and RIA entities. Responsibilities include FINRA and SEC compliance testing, reporting, policy maintenance, regulatory filings, licensing, surveillance, examinations, investigations, and audit support. Partner with Product, Engineering, Operations, Legal, Marketing, and Support to assess regulatory risks and compliance requirements for new products and services.

Supports regulatory compliance initiatives across domestic and international operations. Coordinates risk and compliance committee reporting, schedules meetings, prepares agendas, minutes, and board papers, and reviews committee terms of reference. Manages escalation and tracking of potential compliance breaches, coordinates nil-breach reporting, consolidates regulatory submissions, and supports reporting to senior management, board committees, and regulators.

Manages compliance programs for a consumer finance organization, advising leaders on regulatory risks, monitoring legal and regulatory changes, and overseeing mitigation controls. Builds compliance quality assurance, automated monitoring, advisory, and policy functions; coordinates with business leaders, legal counsel, regulators, and executives. Develops team staffing and budgets, manages employee performance, improves processes, and presents compliance priorities and results to senior leadership and the board.

Lead the credit union’s compliance program as designated BSA/AML and OFAC Officer. Oversee regulatory compliance, risk assessments, transaction monitoring, SAR/CTR filings, vendor oversight, exam readiness, independent testing, remediation, training, complaint investigations, Reg E governance, and board reporting. Partner with executive leadership and business units to maintain regulatory readiness and manage compliance risks.

Compliance Manager overseeing a banking compliance team while performing risk-based testing, monitoring, remediation tracking, policy maintenance, regulatory reporting, training, and risk mitigation. The role partners with business units and leadership to address control weaknesses, escalate regulatory issues, and strengthen the Compliance Management System across consumer banking operations.

Provides independent second-line oversight of marketing compliance across financial services communications. Establishes policies, controls, disclosures, and review procedures; assesses regulatory risk; approves marketing materials; partners with Marketing, Legal, Product, and Risk; supports audits and examinations; and improves automated, AI-assisted content review while maintaining human oversight.

Provides second-line compliance advisory oversight for personal lending products across the full lifecycle. Responsibilities include assessing regulatory risks and controls, developing policies and procedures, advising business partners, supporting monitoring and testing, managing regulatory changes and compliance issues, preparing risk reporting, and using AI to analyze compliance information. Requires strong knowledge of consumer lending laws, risk management, and banking compliance.

Provides billing and customer account support for transportation clients. Responsibilities include validating trip data, preparing invoices, interpreting contracts and pricing schedules, resolving discrepancies, maintaining billing records, generating reports, supporting audits, and ensuring compliance with contract and regulatory requirements. The role collaborates with Operations, Finance, and clients and provides occasional driver safety compliance documentation support.

Reviews international payee tax residency classifications, evaluates tax treaty benefit requests, processes routine payment tax reviews, and supports compliance for faculty, staff, students, guests, and vendors. Provides customer service, explains documentation requirements, tracks cases, manages confidential tax documents, updates financial systems, monitors inquiries, and coordinates follow-up with internal teams and payees. The role requires careful application of tax and immigration guidance, strong organization, and culturally responsive communication.

Lead compliance for Wise's broker-dealer operations in North America, overseeing regulatory frameworks, policies, and product compliance while ensuring regulatory engagement and operational readiness.

Reviews advisory, brokerage, and insurance business for completeness, suitability, and regulatory compliance. Supports principal approvals, advisor disclosures, questionnaires, training, branch audits, advertising reviews, trade surveillance, regulatory inquiries, examinations, and compliance recordkeeping. The role also provides guidance to advisors, tracks corrective actions, maintains compliance books and records, and improves internal procedures and tools.

Responsible for income tax provisions, federal/state/local tax filings, tax reconciliations, business licensing, compliance calendars, tax notices, and regulatory research across multiple entities and jurisdictions. Supports month-end close, financial reporting, audits, balance sheet reconciliations, and internal control improvements. Requires strong accounting, tax, Excel, analytical, organizational, and communication skills.

Reviews compliance data, reports, and processes against internal policies and regulations. Supports the Compliance Management System through risk assessments, issue management, policy reviews, control evaluations, exam management, and monitoring. Advises stakeholders on regulatory interpretation and risk mitigation, tracks corrective actions, validates control effectiveness, identifies process improvements, and prepares reports for management and risk committees. The role focuses on residential and correspondent mortgage lending compliance.

Designs and administers annual compliance training for Home Office employees and securities-licensed field agents. Responsibilities include needs analysis, training content development, program rollout, completion reporting, compliance newsletters and bulletins, policy updates, regulatory help desk support, and coordination with senior leaders. The role also manages training-related suspensions and terminations, supports field events, and maintains compliance resources and firm written supervisory procedures.

Supports regulatory compliance audits and process reviews for banking clients. Evaluates adherence to consumer protection regulations, including TILA, ECOA, HMDA, and TISA; assists with fair lending analyses, risk assessments, audit documentation, regulatory research, and client reporting. Collaborates with audit teams to assess compliance risks and policy alignment.

Ensures compliance with regulatory requirements, financial institution laws, and internal policies. Maintains the policies and procedures manual, coordinates policy adoption and review, supports risk management, oversees internal controls for credit processes, coordinates audits and follow-up, tracks regulatory updates, and provides compliance and credit policy training.