Top Compliance Jobs

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.

Build and operate Column's digital assets compliance program for stablecoin and crypto payment products: operate AML/BSA monitoring, sanctions screening, blockchain analytics, investigations, policy and procedure development, product advisement, metrics reporting, and training. Partner with engineering, product, and bank compliance to translate regulatory requirements into technical controls and ensure integration with the Bank's AML framework.

Lead and advise on compliance for vendor management, information security, data sharing, and vendor oversight. Build and improve policies, publish guidance, lead remediation, coordinate cross-functional teams, and support compliance for lending, funding, and card products.

Provide compliance advice and oversight for global macro trading strategies, embed real-time controls with trading teams, run pre- and post-trade surveillance and investigations, manage approvals and cross-functional projects, support regulatory readiness and policy updates, and deliver training and escalation to senior compliance leaders.

Lead the global tax function for a public medical device company: oversee ASC 740 tax provision, tax compliance, planning, transfer pricing, international tax, audits, tax governance, tax technology initiatives, and build a high-performing team while advising executive leadership.

Lead regulatory engagement and compliance for payments: manage inspections, audits, remediation, and licensing expansions; develop compliance frameworks, policies, and controls; perform due diligence and risk assessments for payment partners; monitor regulatory developments and coordinate cross-functional regulatory responses.

The BSA/AML/Compliance Senior Auditor executes risk-based audits, evaluates internal controls, tracks audit issues, and prepares reports to ensure compliance with BSA/AML regulations.

Lead and manage corporate tax compliance across U.S. federal, state, local, and international jurisdictions; direct global transfer pricing program; oversee tax filings, provisions, and audits; support M&A tax due diligence and entity integrations; develop tax strategies, ensure regulatory compliance, and coordinate with external advisors and tax authorities.

Lead and manage complex financial investigations, forensic accounting and compliance engagements. Oversee case teams, perform interviews and internal controls testing, write client-focused reports, manage client relationships, support business development and proposals, and ensure high-quality case delivery and administrative management.

Lead and manage financial investigations and compliance engagements including scoping, evidence collection, forensic accounting, asset tracing, interviews, internal control testing, and report writing. Interface with clients, supervise junior staff, prioritize multiple cases under tight deadlines, and support business development and cross-office collaboration.

Lead complex compliance initiatives, perform enterprise-wide risk assessments, manage regulatory change, support examinations and audits, advise business units on regulatory impacts, lead issue investigations and third-party risk reviews, develop training, and report compliance metrics to senior management.

Perform sanctions review, transaction monitoring, and enhanced due diligence within Correspondent Banking. Monitor Compliance Verification Level I, draft and follow up on live compliance inquiries, prepare approval memos, manage due-diligence case queue tasks, recommend actions (close, follow-up, file SAR), and perform additional tasks as assigned.

Support and coordinate broker/dealer and investment adviser regulatory examinations (state, federal, FINRA). Liaise with regulators, collect and analyze requested materials, guide remediation plans, draft formal responses, track findings through closure, and identify regulatory trends and emerging issues.

Perform hands-on federal, state, and local tax compliance: prepare and file returns, process remittances, reconcile tax accounts, resolve agency notices, maintain filing calendars and tax records, and support audits.

Perform end-to-end audits of franchise owners and related businesses to verify sales reporting and royalty payments. Review accounting records (financial statements, bank statements, tax returns), collect audit materials and monies, issue audit reports, teach proper bookkeeping, and communicate findings to franchise staff and corporate departments. Prepare status reports and participate in special projects.

The Compliance Analyst tracks US federal regulations, ensures compliance, conducts assessments, communicates updates, and manages compliance-related documentation and customer communications.

The Compliance Analyst will track and review regulations, conduct compliance assessments, manage compliance design specifications, and communicate with various stakeholders to ensure compliance with regulatory standards in mortgage and non-mortgage loan servicing.

The Compliance Analyst investigates potential Anti-Money Laundering activities, produces reports, and collaborates with partners for effective case management.