Top Compliance Jobs

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 tax operations for investment partnerships and managed accounts, manage external tax deliverables, advise on tax impacts of portfolio transactions and complex instruments, support tax allocations and reporting, coordinate with auditors and advisors, track tax law changes, strengthen controls, and drive efficiency and scalability across tax processes.

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.

The Director of Futures Operations will oversee trading and clearing, manage futures and options trade flow, and enhance operational processes while collaborating with compliance and risk teams.

The Associate Director of Research Administration ensures financial management of research projects, oversees staff, develops policies, and maintains compliance with regulations, fostering a high-quality service environment.