Top Compliance Jobs

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.

Lead and manage complex financial investigations, forensic accounting, and regulatory compliance engagements. Oversee case teams, conduct investigative interviews and internal control testing, write client-facing reports, manage client relationships, and drive business development while ensuring high standards of case delivery and team development.

The Senior Compliance Officer will lead compliance monitoring, testing, and resource management, develop metrics, and ensure effective stakeholder communication to uphold regulatory standards.

Lead the investment compliance Monitoring function, overseeing pre-trade, post-trade, and batch monitoring in Charles River. Guide complex compliance interpretations, manage violation escalation and remediation, drive automation and rule optimization, support regulatory changes and vendor oversight, and develop team capability while partnering with Investment, Legal, Risk, and Operations to strengthen governance and controls.

Provide compliance support for Public Finance, Capital Markets and Commodities. Conduct surveillance, on-site branch and home office compliance inspections, regulatory responses and audits, review advertising and electronic communications, maintain WSPs and policies, and resolve regulatory or supervisory issues as assigned.

Oversee mortgage compliance program: manage licensing and exam readiness, handle complaints and SAR reviews, support audits, track corrective actions, and advise staff on regulatory matters while partnering with operations and QC/QA.

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.

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.

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.

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.

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.