Top Compliance Jobs

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.

Leads life and annuity compliance strategy, regulatory oversight, investigations, customer protection, and business advisory functions. Manages distributed teams, develops compliance processes, advises senior stakeholders and business units, interprets regulations, supports strategic initiatives, delivers training, and promotes a strong compliance culture. The role requires extensive insurance compliance experience, people leadership, project execution, and the ability to communicate complex regulatory matters effectively.

Own international accounting, compliance, financial close, statutory reporting, audits, tax filings, consolidations, and intercompany transactions for multiple subsidiaries. Manage outsourced providers, support UK equity compensation and international billing, coordinate new entity setup, and oversee financial reporting for a government contracting entity. Partner with Legal, HR, Treasury, Tax, Compensation, portfolio companies, auditors, and government-contracting advisors across jurisdictions.

Administer the project insurance compliance program by tracking contractor and subcontractor certificates, verifying required coverage, maintaining compliance records, coordinating with brokers on claims and policy changes, and reporting insurance deficiencies. The role also supports project administration and contract compliance tracking for construction or capital programs.

Lead and continuously improve the companys SOX 404 program: design strategy, risk assessment, scoping, testing, and remediation. Partner with Finance, IT, Legal, and business owners to document controls, manage external audits, drive automation and ERP/GRC integrations, report to executives and Audit Committee, and establish policies, training, and a scalable SOX team.

Serve as second-line compliance advisor for US Card business, providing regulatory guidance (Reg Z, Reg B, FCRA, UDAAP), performing control assessments, advising on product/process changes, supporting compliance testing and remediation, participating in governance and reporting, and partnering with business leaders to integrate compliance into strategy and operations.

Leads the Community Development Compliance and Monitoring Unit for HUD-funded programs. Supervises monitoring activities, develops risk-based schedules, researches regulations, provides technical assistance, conducts programmatic and financial reviews, coordinates audits, tracks compliance issues through resolution, performs site visits, and ensures accurate reporting in DRGR and the City Grants Management System.

Conduct compliance control testing for complex banking regulations, including planning test procedures, researching regulatory requirements, executing transactional and control testing, reviewing workpapers, identifying compliance issues and root causes, documenting findings, and reporting results to management. The role requires independent judgment, collaboration with subject matter experts, support for junior analysts, and strong knowledge of banking laws, auditing techniques, and regulatory guidance.

Conduct regulatory compliance control testing for banking lines of business. Research laws and regulations, plan testing scopes, execute transactional and control reviews, identify compliance weaknesses and root causes, document findings in electronic workpapers, recommend corrective actions, and communicate results through reports and management meetings. Maintain testing records and tracking logs while collaborating with managers, subject matter experts, and business-line stakeholders.

Manages corporate state income tax compliance, including consolidated, unitary, and separate-company returns. Leads state income, sales/use, and franchise tax audits; oversees quarterly estimates and extensions; researches tax positions; incorporates acquisitions and tax law changes; improves tax technology and processes; and supervises a team of 1–2 employees.

Work daily on transaction monitoring: review alerts, conduct KYC/KYB and enhanced due diligence, investigate cases, draft SAR narratives, send RFIs, support KYC refreshes, and improve policies while staying current on FinCEN/FATF guidance.

Execute KYC/KYB onboarding and transaction monitoring: verify documents, analyze beneficial ownership, sanctions/PEP/adverse media screening, conduct enhanced due diligence, draft SARs, send RFIs, perform KYC refreshes, support policy improvements, and monitor emerging financial crime trends including on-chain analytics.

Manages state, local, federal, and Alaska-specific tax compliance, including filings, payments, audits, licenses, property taxes, sales taxes, B&O taxes, and K-1 distributions. Researches tax regulations, identifies savings opportunities, maintains tax databases, supports audits, and recommends compliant tax strategies. The role also handles financial reporting, data analysis, regulatory submissions, and coordination with internal stakeholders and authorities.

Manages state, local, federal, and Alaska-specific tax compliance, including filings, payments, audits, licensing, property taxes, sales taxes, B&O taxes, and K-1 distributions. Researches tax regulations, identifies savings opportunities, maintains tax databases, supports audits, and recommends compliant tax strategies. Requires strong accounting knowledge, analytical skills, advanced Excel and ERP proficiency, and collaboration with internal and external stakeholders.

The Regional Compliance Officer will advise Wealth Management teams on compliance, conduct risk, and regulatory issues while overseeing risk management and compliance initiatives within the region.

Administers donor-restricted funds throughout their lifecycle, interprets gift agreements and governing documents, ensures compliance with donor intent and regulations, conducts compliance reviews, supports audits and governance initiatives, prepares analyses and reports, and improves fund administration processes, controls, procedures, and documentation. The role collaborates with Finance, Development, Legal, campus partners, and other stakeholders while coordinating strategic initiatives and technology enhancements.

Manages compliance and privacy governance, strategic initiatives, risk tracking, reporting, documentation, and accountability across cross-functional teams. Coordinates governance forums, KPIs, dashboards, issue remediation, controls, workflows, communications, and audit-readiness activities. Partners with business, legal, compliance, audit, and operations stakeholders to standardize processes, embed requirements, improve efficiency, and support change management.

Compliance interns support reviews, preliminary watch-list investigations, suspicious activity escalation, branch review coordination, data analysis, and business continuity. They create Excel spreadsheets and PowerPoint training materials, assist with administrative tasks, and complete special projects while learning financial-services regulations and ethical standards. The hybrid role requires full-time summer availability, part-time semester availability, and local presence in Milwaukee.

The Compliance Automation Specialist translates regulatory requirements into automated, data-driven compliance tests using SQL, Python, AI, and large datasets. The role sources and validates data, documents test logic and lineage, coordinates with IT and data teams, applies responsible AI governance, investigates exceptions, supports audits and regulatory examinations, and reports testing coverage and results. Banking or financial services experience is essential, along with knowledge of compliance testing, consumer and deposit regulations, and core banking systems.

Leads state and local income tax compliance operations, supervises multiple engagements, reviews complex multistate returns, handles tax authority notices and client representation, researches complex tax matters, and drives business development. Manages budgets, develops employees, coordinates department activities, and provides firm leadership. Requires deep expertise in state tax concepts, pass-through taxation, compliance technology, client service, and team management.

Lead and mature end-to-end SOX compliance program including scoping, risk-control matrices, testing, remediation, governance, external audit liaison, automation, and team leadership to ensure ICFR effectiveness in a complex technology environment.

Provides operational regulatory compliance and risk management guidance to business units. Responsibilities include interpreting federal and state regulations, supporting governance and compliance processes, conducting monitoring and testing, maintaining policies and controls, preparing examination materials, managing regulatory change, advising on business initiatives, presenting to management, and escalating issues. The role requires collaboration with Compliance Risk Management, Legal, and Regulatory Affairs while driving continuous improvement and internal control effectiveness.

The Fund Controller manages fund accounting accuracy and consistency, collaborates with teams, and oversees compliance and audit partnerships.

Own and build mortgage compliance for a new multi-state lending business: administer the CMS, manage NMLS licensing, prepare regulatory filings (HMDA, MCR, state reports), resolve loan-level compliance issues, lead exams and remediation, run BSA/AML program including SAR/CTR filings, track regulatory changes, and partner with legal, ops, and tech to enable compliant, tech-forward lending.