Top Compliance Jobs

Support the VP Compliance Officer to ensure adherence to the Compliance Management System with emphasis on deposit regulations. Serve as subject-matter expert, conduct internal monitoring reviews, review disclosures and marketing materials, assist with audits/exams, oversee complaint management, train staff, communicate regulatory changes, and compile risk committee materials.

Lead regional Internal Control Compliance (ICC) and MCS programs: set annual priorities and plans, manage budgets and a global team, ensure audit quality and compliance, guide remediation, advise on controls for projects (including M&A), build capabilities, and drive process and productivity improvements.

Perform sales and use tax compliance including preparing and e-filing returns (Fuel, Sales, Use, WA B&O, regulatory fees); ensure federal/state/local tax compliance; respond to jurisdictional notices and inquiries; maintain tax setups in PDI; prepare month-end tax accruals, deferrals, journal entries and reconciliations; support state reporting (Low Carbon Fuel Standard); communicate with agencies and auditors; drive process improvements and support cross-divisional interaction.

Support the Compliance Manager by maintaining compliance records, auditing Title 31/ICS requirements, preparing CTRs/SARCs, coordinating internal/external audits, tracing reportable transactions, monitoring sensitive keys, and preparing quarterly compliance reports.

Provide senior compliance advisory for equities sales and trading, focusing on cash/high-touch and electronic trading. Strengthen equities compliance program, advise on regulatory requirements, implement supervisory controls, conduct testing and risk assessments, lead investigations and regulatory responses, deliver training, and report to senior management while interacting with regulators and global teams.

Lead and execute the global compliance strategy for Wealth Management, ensuring regulatory adherence, conduct and financial-crime controls, policy and monitoring effectiveness, regulatory engagement, and integration with enterprise risk. Advise business and product teams on new initiatives, oversee exams/remediations and regulatory reporting, drive regulatory change management and training, and build a high-performing global compliance team with strong succession planning.

Support enterprise-wide financial crimes RCSAs by drafting and updating controls, coordinating and evaluating control testing, challenging 1st-line assessments, mapping issues to controls, preparing leadership reporting, assisting audit/regulatory requests, and supporting strategic projects and training to strengthen the GFCC control environment.

Serve as the Line of Business Compliance Officer for U.S. Corporate Card Programs, providing independent, second-line oversight. Assess compliance risk for products, features, marketing, disclosures, and digital journeys; support CRA, RCIM, KRIs, and RBST; identify and drive remediation of compliance issues; collaborate with Legal, Audit, Financial Crimes, Privacy and other stakeholders; assist with regulatory examinations and inquiries.

Lead and execute risk-based SOX 404 testing and internal audits across financial and operational cycles. Maintain SOX documentation, test ITGCs and application controls across ERP/business systems, apply data analytics for monitoring, identify control gaps, support remediation, coordinate with external auditors, and provide audit input on system implementations to strengthen ICFR.

Support public sector finance and compliance engagements by collecting and reviewing financial documentation, performing basic compliance testing, preparing workpapers, assisting with financial modeling and analyses, and contributing to AML system data workstreams. Collaborate with teams, attend client meetings, and help with engagement execution under senior guidance while developing accounting and regulatory knowledge.

Perform financial, operational, construction and compliance audits, including SOX testing; identify control gaps; provide advisory services; coordinate with external auditors; manage audit projects, present findings, and consult with business management to improve processes and controls.

Maintain insurance compliance with landlords, vendors, and third parties; manage certificates of insurance; support claims administration and invoice coding; coordinate with AP/AR, finance, and operational teams; capture property/COPE data; provide general risk management administrative support and process improvement suggestions.

Lead SEC registration and design Infra One's US compliance operating system. Build written policies (Form ADV, AML/KYC, custody), run multi-fund monitoring and GP due diligence, manage exams and regulator relationships, advise on fund structuring and conflicts, and define organizational substance, books-and-records, and cybersecurity compliance for a scalable platform.

The Sr Associate - Compliance will develop compliance policies, assess regulatory risks, review marketing and investor communications, and manage compliance programs.

The Portfolio Oversight Analyst will manage trading controls, code client investment guidelines, handle regulatory compliance, and support trading desks. Responsibilities include preparing regulatory reports, assisting in client due diligence, and participating in overnight calls for trading issues resolution.

Ensure the credit union complies with federal and state regulations; perform consumer and fair lending testing; develop, revise, and implement policies and procedures; train staff; maintain records and reporting; investigate complaints and present compliance findings to senior management.

The Governance Risk Compliance Analyst ensures compliance with regulatory requirements by conducting reviews, analyzing processes, maintaining documentation, and supporting governance activities within Wealth Management Risk Control.

Lead Cartier North America's compliance roadmap, oversee internal controls and fraud prevention, drive compliance transformation projects, embed analytics and automation, manage ICS and policy governance, deliver training, and provide financial and analytical support for sustainability (CO2 measurement and reporting). Act as executive-facing business partner escalating risks and progress to leadership.

Manage U.S. international tax compliance and reporting, oversee informational returns (Forms 5471, 8858, 8865, 1042/1042-S), FBAR, W-8s; support tax provisions, research tax issues, coordinate with consultants and treasury, and drive process improvements across international tax function.

Lead and supervise regulatory compliance and internal audit engagements for financial services, focusing on AML, consumer protection, model and enterprise risk programs. Manage client relationships, develop findings and proposals, supervise staff, perform quality control, and support practice development and business development activities. Travel ~2020-30% regionally.

Lead and maintain the bank's Financial Crime Compliance framework in Kuala Lumpur. Serve as AML/CFT/Sanctions/ABC/Fraud SME, manage regulatory reporting and relationships, oversee Actimize/Hotscan systems, direct investigations and SAR/STR escalations, and mentor FCC teams while ensuring governance and regulatory compliance.

Perform customer due diligence and regulatory verification for client onboarding. Review onboarding packages, perform identity and sanctions screening, validate ownership and licenses, complete Payment Network checks, maintain client files, document exceptions, support Senior Compliance Managers, and improve SOPs to ensure compliant onboarding.

The Senior Federal Compliance Specialist ensures accurate cost identification and reporting for federally funded contracts, audits expenses, provides pricing compliance, and manages cost calculations and submissions.

Support onboarding compliance by performing CDD/KYB: gather and verify documentation, run risk assessments, flag/escalate suspicious activity, maintain records, assist periodic reviews and reporting, update procedures, and use compliance platforms to ensure BSA/AML, OFAC, and FinCEN adherence.

Lead and scale Step’s compliance program across banking, lending, and payments regulations. Build policies, manage exams, audits, monitoring, and issue tracking. Partner cross-functionally and with sponsor banks to ensure compliant product development, translate regulatory change into action, and serve as primary regulator and auditor contact to support rapid growth.