Top Compliance Jobs

Supervise tax compliance operations related to various taxes, ensuring timely filings and handling customer billing and resolutions. Manage team performance and compliance metrics while coordinating audits and maintaining procedures.

Drive risk and compliance activities for finance and supply chain: perform risk management and reporting, due diligence, remediation and corrective action planning, user access management, SOX compliance, and partner with stakeholders and global teams to implement controls and support audits.

Perform contract compliance audits (royalty, franchise, vendor, lease, revenue participation); analyze franchisee/licensee financials; research related parties; manage project timelines and client communication; prepare work papers and written reports detailing findings and fee recalculations.

Support development and coordination of audits across Underwriting, Claims, and Product Development. Conduct independent agency audits, improve analytical controls, and assist with market conduct exams. Maintain compliance documentation and collaborate with stakeholders.

Perform compliance reviews of new originations and high-risk loans, respond to outside audits and investor file requests, review contractor bids and comparables, validate evaluator submissions, correct identified issues with internal/external contacts, and support department manager with assigned duties.

Lead mortgage origination compliance by interpreting federal and state regulations, implementing policy and systems controls, performing loan testing and marketing reviews, managing staff, training employees, and coordinating with Legal and business units to remediate compliance issues.

Review mortgage forms, disclosures, and documents to ensure compliance with HMDA, Regulation B, TRID, and RESPA. Track compliance questions, monitor AllRegs for updates, advise loan officers and managers, compile reporting information, and assist with policies, procedures, and companywide training.

Ensure merchant and payment processing compliance with card network rules and regulations. Manage card brand violations (Visa VIRP, Mastercard BRAM), draft remediation and representment plans, perform KYC/KYB reviews, investigate alerts, maintain documentation for audits, and support policy updates.

The Vice President will oversee compliance for credit secondaries products, ensuring adherence to regulations and internal policies. Responsibilities include compliance oversight, conflict resolution, and support for fund launches.

Conduct KYC onboarding and due diligence for clients. Analyze documentation, perform sanctions checks, and work cross-functionally to ensure compliance.

Manage the Loans Enablement Platform team, develop risk frameworks, conduct audits, ensure compliance with regulations, and foster risk awareness.

Manage a portfolio of self-employed clients: prepare, review, sign, and file federal and state tax returns (1040, 1120-S); mentor and train junior tax staff; research and interpret tax laws; produce technical memos and compliance reports; collaborate cross-functionally and maintain knowledge of multi-state tax matters.

The Treasury Risk and Compliance Associate will support the Compliance Director by designing controls, managing risk matrices, reviewing policies, and collaborating with cross-functional teams.

Advise Vanguard Personalized Indexing business on regulatory compliance across product lifecycle. Design and maintain compliance policies, interpret regulations, conduct risk assessments and inspections, and collaborate with legal, risk, and cross-functional teams to implement remediation and ensure readiness for future phases.

Oversee day-to-day financial management for a client portfolio: lead compliance team, prepare and file federal/non-federal campaign finance reports, maintain bookkeeping, budgets, cashflow, reconciliations, payroll, and client financial reporting while ensuring GAAP compliance and efficient workflows.

Lead a compliance team managing day-to-day financial operations for political and nonprofit clients, including FEC and nonfederal filings, bookkeeping, budgets, reconciliations, payroll and benefits, client reporting, onboarding/offboarding, GAAP compliance, vendor relationships, and workflow implementation.

Manage post-award grant financials and compliance for housing and homeless services: prepare drawdowns and reimbursements, manage grant receivables, reconcile to the general ledger, monitor budgets and spend-downs, maintain audit-ready documentation, support audits and Single Audit requirements, and coordinate with program and finance teams and external funders to ensure regulatory compliance.

Serve as the payroll compliance subject-matter expert for assigned jurisdictions. Interpret payroll, tax, social security, labour, and employment legislation; translate requirements into product and operational solutions; advise stakeholders; conduct compliance assessments and audits; build scalable compliance frameworks, rules libraries, and automation; and train and mentor cross-functional teams to ensure compliant payroll products at scale.

Support the Compliance Department with branch examinations, AML monitoring, associate disclosures, customer complaints, data collection/analysis, and general compliance administration. Assist examiners on onsite/virtual reviews, respond to inquiries, and help enforce firm policies while learning industry regulations and obtaining required licensure.

Coordinate and respond to state and federal regulatory examinations; develop and implement corrective action plans and root cause analyses; prepare written responses and internal reports; schedule follow-up audits and monitor remediation effectiveness; liaise with regulators, Chief Compliance Officer, counsel, and business units to ensure ongoing compliance.

Review and approve marketing and advertising materials for proprietary and third-party funds and advisory programs to ensure FINRA and SEC compliance; draft disclosures; submit materials to FINRA and manage correspondence; advise broker-dealer and investment advisers on marketing issues; assist with preparation and amendments of Form ADV filings.

The Energy Compliance Audit Supervisor will conduct audits for regulatory compliance in renewable fuels, prepare reports, analyze data, and liaise with clients.

Senior leader responsible for global tax reporting, ASC 740 accounting, compliance governance, and tax operating model transformation. Partners with Finance, Legal, Treasury and auditors to ensure accurate tax provision reporting, SOX controls, automation and AI adoption, and scalable processes across jurisdictions while leading a global tax team.

Conduct due diligence, KYC and risk assessments for counterparties across global trading operations. Monitor alerts, review KYC documentation, assess PEPs/sanctioned entities, maintain counterparty data lifecycle, escalate issues, and coordinate with trading desks and external counterparties to ensure AML/CFT and sanctions compliance.

The Senior Compliance Analyst supports compliance management, ensuring bank activities meet relevant laws and regulations, while managing inquiries and directing procedural updates.