Top Compliance Jobs

Lead and manage federal and state tax compliance and advisory engagements for diverse clients. Review complex returns, identify tax planning opportunities, maintain client relationships, supervise and mentor staff, manage engagement budgets and timelines, and collaborate with CAAS, Audit, and Advisory teams to ensure accurate, timely delivery and compliance.

Provide compliance coverage for equity and debt capital markets: advise on private placements, underwriting and liability management; develop policies and procedures; advise on cross-border and Reg BI issues; monitor MNPI, conflicts and wall-crossing; deliver training; support regulatory developments, exams and audits; partner with senior business leaders to embed compliance into transactions and risk decisions.

The Compliance Auditor will conduct compliance audits, prepare summaries, and provide recommendations for audit reports.

Perform day-to-day compliance functions for a deposits portfolio, including testing, monitoring, risk assessments, vendor compliance, policy maintenance, and regulatory research. Prepare documentation and reports, communicate findings to management and the Board, support regulatory change management and exams, and assist in remediation and root-cause analysis.

Support compliance governance and monitoring: administer controls certification, issues and remediation tracking, regulatory inventory and policy reviews, prepare periodic reporting, manage contract compliance monitoring, and coordinate with stakeholders to close actions.