Top Compliance Jobs

Manage the full lifecycle of inbound KYC requests, including intake, documentation review, validation, client communication, recordkeeping, and timely resolution. Apply global KYC, AML, and international regulatory requirements, monitor regulatory changes, maintain audit-ready records, and escalate issues appropriately. The role operates in a high-volume, client-facing environment serving asset managers, private equity firms, and counterparties.

Supports a broker-dealer compliance program by maintaining policies and procedures, assisting with representative registrations, conducting compliance testing, delivering regulatory training, monitoring regulatory developments, and responding to regulatory inquiries. The role requires broker-dealer compliance experience, familiarity with FINRA and investment adviser regulations, strong data analysis, organization, attention to detail, and communication skills.

Build and operate the Trust Bank’s Compliance Management System, leading fiduciary compliance, third-party risk, affiliate transactions, privacy, UDAP, regulatory monitoring, training, and compliance reporting. The role prepares Board and committee materials, supports audits and examinations, drafts policies and procedures, and provides second-line oversight across risk assessments, monitoring, testing, and issue management.

Monitor transaction and employee account activity for multiple credit unions, complete scheduled reviews, investigate unusual activity (including wires, dormant accounts, reversals), document findings, and escalate concerns to credit union leadership.

Lead and enhance the Financial Crime Compliance risk assessment program (AML, sanctions, CFT, CPF). Assess and document FCC risks and controls, produce actionable reporting, advise stakeholders, provide guidance and training, identify emerging risks, interact with regulators and auditors, and manage projects to meet deadlines.

Lead internal control and compliance activities including SOX testing, risk assessments, remediation projects, and month-end accounting support. Coordinate with internal and external auditors, maintain compliance reporting, manage ERP GRC processes, and support regulatory, tax, and statutory reporting. Provide training, process improvements, and monitor controls to mitigate financial and compliance risk.

Lead a team to design, develop, test, implement, and optimize AML transaction monitoring scenarios. Manage the full scenario lifecycle, collaborate with stakeholders (Product, Technology, Decision Science, Model Risk), evaluate ML opportunities, govern project intake, and report on scenario performance and KRIs/KPIs. Continuously improve detection coverage, efficiency, and documentation to support SAR processes.

Lead and execute control testing for Global Sanctions to ensure sanctions risk is mitigated across the enterprise. Independently test controls, liaise with issue management, partner with control and technology teams for model validation and reporting, oversee non-model tools, support remediation and risk assessment activities, and build/document controls for sanctions-related processes.

Supports OnePay’s second-line compliance control environment through control framework maintenance, risk assessments, risk-based monitoring, data quality reviews, process improvements, and product compliance oversight. Partners with cross-functional teams on regulatory, operational, and third-party changes; provides advisory challenge; evaluates control impacts; and prepares leadership and governance reporting. The role also applies analytics, automation, and AI-enabled tools to improve monitoring efficiency and coverage.

Support global compliance functions by monitoring regulatory trends, assessing risk, and ensuring firmspolicies and controls meet requirements. Work across Financial Crime Compliance, Core Compliance, Compliance Testing, Markets Surveillance and Global Banking & Markets to analyze issues, manage projects, interact with senior stakeholders, and help design and test controls to prevent financial crime and regulatory breaches.

Leads cost adjudication, accounting compliance reviews, forensic analyses, and financial oversight for a federal defense program. Evaluates cost flows, overhead pools, WBS-aligned costs, and accounting treatments under GAAP and ASC standards. Develops auditable adjudication processes, prepares defensible recommendations for government stakeholders, and supports audit readiness. Requires extensive defense contractor or manufacturing accounting experience and an active CPA certification.

Administers the bank’s Consumer Compliance Management System and supports compliance governance, regulatory analysis, risk assessments, monitoring and testing, complaint management, regulatory change management, examination readiness, issue remediation, reporting, training, and compliance guidance across consumer banking products and services.

Provides compliance coverage for equities sales, trading, and strategy personnel within Global Markets. Advises on regulatory requirements, evaluates new business initiatives, develops policies and training, supports audits and regulatory examinations, conducts compliance look-backs, manages escalations, and analyzes regulatory changes to mitigate compliance and reputational risks.

Supports registered fund compliance programs for mutual funds, ETFs, and closed-end funds. Responsibilities include compliance surveillance, investment guideline alerts, policy administration under SEC rules, fund launches, board reporting, annual and quarterly assessments, and coordination with fund administration, legal, risk, auditors, law firms, and service providers. The role also provides compliance guidance across client accounts and prepares regulatory and management materials.

Manages global tax compliance and reporting for investment funds, including investor Schedules K-1, federal, foreign, state and local filings, FATCA, CRS, ASC 740 disclosures, tax payments, and tax authority examinations. Oversees external providers, coordinates with accounting and operations teams, monitors regulatory changes, develops tax policies, supports investors, and leads tax-reporting training and process improvements.

Evaluates multifamily housing developments and loan programs for compliance with LIHTC, FHA, and affordable housing requirements. Conducts property reviews and inspections, analyzes occupancy data and certifications, monitors loans and troubled properties, prepares compliance reports, responds to owner and tenant inquiries, delivers customer training, collects program fees, reports noncompliance, and helps update policies and procedures.

Lead and oversee regulatory compliance, BSA/AML, and fair lending audit engagements for financial institution clients. Manage risk assessments, testing, documentation, and high-level review of deliverables. Serve as primary client contact, coach and lead engagement teams, support staffing and resource planning, drive process improvements, and contribute to business development and integrated client solutions.

Lead processing, filing, and payment of state (TX/NM) and federal royalties and severance taxes; prepare reconciliations and monthly analyses; manage audits and work with consultants; ensure SOX compliance; collaborate with land and regulatory teams to secure deductions and exemptions; support special projects and reporting.

Perform surveillance and monitoring of firm systems, review and address flagged issues, conduct email surveillance, prepare regulatory filings, assist with exams and investigations, deliver compliance training, update policies, review employee requests, and partner with Technology to improve internal review systems.

Provide first-line compliance advisory for Personal Financial Services Credit; liaise with regulators and internal stakeholders; manage audits, assessments and regulatory implementation; drive reviews of regulatory guidelines, self-assessments and internal controls; perform mystery shopping and surveillance; develop dashboards, trainings and compliance programs; and support business unit compliance leads to strengthen governance and operational risk controls.

Entry-level role supporting financial investigations and litigation matters. Assist in preparing proposals and workplans, review and analyze financial records, document findings, prepare client deliverables, and perform quality control. Learn investigative tools, identify patterns and anomalies, and support case completion within deadlines and budgets.

Assist financial investigations and litigation support by preparing proposals and workplans, performing financial analysis, reviewing and documenting evidence, mastering investigative tools, organizing QC-ready files, and preparing client deliverables under case managers' guidance.

Support financial investigations and litigation matters by preparing proposals and workplans, conducting financial analysis of records, documenting findings, mastering investigative tools, performing quality control, and preparing client deliverables. Assist case managers, identify patterns and anomalies, verify findings, follow leads within project constraints, and present clear, accurate conclusions to clients.

The Compliance Manager will advise on compliance risks, conduct assessments, monitor activities, and address regulatory obligations related to fraud and internal conduct.

The Director of Financial Crimes Compliance leads data strategy and governance, ensuring data quality and compliance within GFCC operations. Responsibilities include driving transformation initiatives, managing data governance policies, and collaborating with various stakeholders to enhance data capabilities and efficiency through automation.