Top Compliance Jobs

The Senior Compliance Officer will oversee compliance monitoring, support regulatory requests, maintain procedures, and collaborate with global teams.

Perform MAR/SOX compliance activities including risk assessments, process and control documentation, testing controls, reporting and remediations, peer reviews, and support for internal/external auditors to ensure regulatory reporting and control effectiveness.

Serve as subject matter expert for U.S. and Canadian payroll tax compliance. Independently research and resolve complex payroll tax issues, manage agency inquiries, oversee tax adjustments and filings (W-2, 941, T4, etc.), conduct audits/reconciliations, coordinate with vendors and stakeholders, support audits, and drive process and control improvements to reduce risk.

Reviews and advises on marketing and distribution materials for regulatory compliance, conducts testing and surveillance, responds to compliance inquiries and RFPs, prepares documentation for exams and due diligence, and supports process improvements and special projects within the Compliance team.

Lead the US Sanctions Compliance program as a subject-matter expert on OFAC and multijurisdictional sanctions. Oversee sanctions screening operations, policy development, regulatory examinations, and OFAC engagement. Partner with Technology, Data, and risk teams to tune screening systems, improve metrics and reporting, and deliver targeted training to strengthen sanctions risk awareness across the institution.

Support oversight of regulatory and other risks for Mercer Investments in Ireland: monitor investment breaches, review fund documentation and managers, liaise with depositary, run due diligence and personal trading controls, approve marketing/RFPs, conduct compliance monitoring, training, and regulatory correspondence.

Support MAR/SOX compliance through risk assessments, control testing, documentation, reporting deficiencies, preparing audit reports, peer review, and coordinating remediation with management and regulators.

Lead and build the compliance function for a wholesale mortgage lender, overseeing BSA/AML, fair lending, NMLS licensing, regulatory exams, audits, loan reviews, policy development, remediation, and cross-functional escalation resolution. Manage and coach compliance staff, liaise with regulators, ensure timely reporting and testing, and implement SOPs and processes. Use Encompass and Mavent; prepare SARs and maintain adherence to federal, state, and investor guidelines.

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.

Execute and operationalize compliance frameworks for the Member and Digital Experience portfolio: review materials for regulatory compliance, maintain controls and inventories, support audits and remediation, manage complaints, conduct regulatory research, participate in PRCI/RCSA, and collaborate cross-functionally to embed compliance into day-to-day operations.

Conduct KYC onboarding and due diligence for clients. Analyze documentation, perform sanctions checks, and work cross-functionally to ensure compliance.

The Senior Associate will conduct daily Portfolio Surveillance, resolve compliance violations, support Portfolio Managers, and lead improvement projects.

The Compliance Manager oversees the internal control framework, compliance programs, and operational risk management, collaborating with various teams to ensure regulatory compliance and process improvements.

Assist in executing audits focused on financial crimes. Manage audit processes and assess governance and risk management while ensuring compliance with industry regulations.

The AVP will oversee compliance technology platforms, ensuring they meet regulatory standards while coordinating with stakeholders for technology needs and project management.

Manage royalty audits and processes, coordinate with auditors, research claims, calculate royalties, draft agreements, and support affiliate offices.

Oversee US international tax compliance and reporting for Sony, managing a team, analyzing tax processes, and explaining legislation impacts.

Manage international tax compliance for Sony Corporation, including tax reporting, preparation and review of income tax returns, and liaison with business units.

The Senior Compliance Analyst supports Audax Private Equity's compliance program, conducting reviews, enforcing policies, overseeing service providers, and assisting with regulatory filings and examinations.

Monitor and resolve pre-trade compliance alerts and post-trade exceptions, apply SEC and client guidelines, prepare regulatory reports, onboard new accounts and set compliance rules, improve controls and processes, and coordinate with trading, portfolio management, operations, and global support teams to ensure compliant trading activity.

Ensure the credit union complies with federal, state, and local banking laws by monitoring regulatory changes, conducting reviews and risk assessments, researching compliance questions, supporting audits, delivering training, investigating issues, preparing management reports, and assisting ERM/BCP efforts. Complete required BSA/OFAC training and recommend corrective actions.

Support organizational financial health through budgeting, financial reporting, grant compliance, and analysis. Develop and monitor program budgets, prepare donor and grant financial documentation, ensure federal/state/contractual compliance, assist audits, and communicate financial insights to program staff and leadership.

Lead and improve payroll operations and controls, manage the Payroll team, ensure global payroll compliance and accurate reporting, support CFO on finance and accounting projects, drive process improvements and system initiatives (including ERP/payroll systems), prepare for audits, and mentor staff to maintain continuity and scalability across finance functions.

Support design, implementation, and oversight of the firm's wholesale broker-dealer compliance program. Develop and maintain written supervisory procedures, advise business on regulatory requirements and wholesale/retail boundaries, perform testing and monitoring, manage licensing/registrations, coordinate regulatory responses and exams, review sales and advertising, lead projects, support training, and monitor regulatory changes.

Lead and enhance the firms broker-dealer and investment adviser compliance program, oversee risk assessments, WSPs, advertising reviews, regulatory filings and exams, manage a small compliance team, support training, monitor regulatory changes, and partner with business leaders on compliance matters.