Top Compliance Jobs

Coordinates end-to-end launch execution for complex commercial offerings, establishing scope, governance, ownership, readiness criteria, controls, testing, risk mitigation, and go/no-go decisions. Partners with finance, engineering, operations, business planning, and customer readiness teams to translate deal mechanics into finance requirements, monitor launch health, ensure compliance, and drive remediation through deployment and hypercare.

Implements and administers the broker-dealer and investment-advisor compliance program. Responsibilities include reviewing communications, social media, marketing, advertising, and branch exams; monitoring FINRA, SEC, MSRB, and other regulatory developments; preparing filings; responding to regulatory inquiries; advising on new rules and products; and developing and delivering compliance training.

Manages enterprise-wide consumer compliance reviews, monitors regulatory changes, updates review documentation, analyzes compliance risks, and serves as the primary liaison with department management. The role requires researching, tracking, communicating, and resolving compliance issues while maintaining regulatory knowledge, confidentiality, objectivity, and effective stakeholder relationships.

Owns and maintains the enterprise Authoritative Source Library, including compliance requirements, impact ratings, oversight assignments, training, reporting, quality control, and governance. Manages regulatory content across Archer and ServiceNow, supports eGRC workflows, and leads cross-functional projects. Requires strong knowledge of financial services regulations, risk, compliance, audit, business operations, process facilitation, project management, communication, and stakeholder relationship management.

Manages HR risk and regulatory compliance activities, including researching regulatory changes, monitoring workforce regulations, testing HR processes and GRC controls, maintaining compliance documentation, coordinating training, supporting audits, managing third-party risk monitoring, and preparing risk and compliance reports. The role also identifies process gaps, verifies implementation of requirements, maintains testing schedules, and advises HR stakeholders on compliance results.

Supports financial-services compliance programs by assessing risks, investigating complaints and potential violations, coordinating audits, drafting compliance reports, maintaining documentation, and implementing corrective action plans and preventative measures. The role requires independent work under general supervision, collaboration with compliance teams, and adherence to applicable laws, regulations, policies, and FINRA requirements.

Directs contract and grant compliance across government, foundation, and corporate funding sources. Reviews agreements, identifies risks, coordinates stakeholders, conducts internal audits, monitors subcontractors, oversees compliance reporting and documentation, and maintains audit-ready records. Provides staff training on regulations, allowable costs, and documentation standards while updating organizational policies and procedures. Serves as a liaison to auditors and grant officers.

Supports governance and oversight for the Banks Non-Financial Risk program, including regulatory reporting, audit and exam management, response preparation, process documentation, and departmental tracking. The role prepares materials for senior management and regulators, organizes supporting documentation, maintains records, and coordinates with stakeholders across competing priorities.

Leads the insurance compliance organization, overseeing regulatory change management, product compliance, audits, market conduct exams, risk mitigation, policies, controls, and regulatory inquiries. Advises Legal, Product, Operations, and senior leadership on multi-state and federal requirements. Drives process improvement, automation, analytics, AI adoption, training, and compliance reporting while developing a high-performing team.

The Compliance Analyst performs internal and IT/IS audits, evaluates controls, conducts root cause investigations, researches regulatory requirements, and maintains compliance documentation. The role supports enterprise risk management, compliance testing, regulatory readiness, data analysis, and risk mitigation. Responsibilities also include presenting findings to leadership, implementing process and system improvements, and collaborating with legal, finance, operations, sales, partnerships, and learning teams within a multi-state insurance environment.

Monitors information barriers and material non-public information across the Firm. Reviews deals, research reports, financial models, and securities transactions for legal and policy compliance. Maintains confidential lists and internal deal records, advises stakeholders on trading and publication restrictions, applies Global Research Settlement rules, manages conflicts of interest, and supports transaction approvals and risk management.

Lead embedding of compliance framework for Regional Wealth Management, act as liaison with Group Compliance, review regulations and product documents, manage audits and regulatory requests, design training, partner with process owners on controls and remediation, and coach staff to ensure first-line defence compliance.

Perform advanced defined contribution retirement plan compliance work, including nondiscrimination testing, contribution calculations, corrections, reconciliations, government filings, audits, plan transitions, and technical consulting. Review peer work, mentor administrators, explain compliance results to clients, monitor regulatory requirements, and improve workflows through automation and AI tools.

Support 401(k) plan onboarding, annual administration, and 3(16) monitoring. Responsibilities include preparing plan documents and tax forms, performing nondiscrimination testing, ensuring ERISA and IRS compliance, reviewing payroll and participant data, reconciling plan assets, processing distributions and loans, correcting plan errors, and improving administrative workflows using advanced Excel.

Oversee compliance and reporting for US CLOs and rated note fund structures. Responsibilities include monitoring compliance tests, reviewing investor reports and waterfall calculations, conducting hypothetical testing, interpreting indentures, coordinating with portfolio management, trading, and structuring teams, preparing reports, and overseeing fund administration and trustee vendors.

Manage global AML/KYC processes, supervise vendors, review investor identity documents, conduct screening and risk escalation, maintain compliance records, lead testing, deliver training, respond to questionnaires, support regulatory reporting, and monitor AML regulatory developments. The role also contributes to compliance technology projects, policy updates, knowledge management, and firm-wide investor lifecycle initiatives.

Conduct escalated sanctions reviews across name screening, transaction screening, blockchain monitoring, account activity, and anti-circumvention controls. Investigate sanctions exposure, review account-opening documentation, analyze large datasets, prepare regulatory reports, and communicate findings to global compliance stakeholders. The role also supports process improvement through automation and AI-assisted tools, presents investigation results, and helps maintain a scalable sanctions compliance operation.

Supports administration and oversight of the firm’s advisory compliance program. Leads and mentors analysts, conducts quality reviews, manages workflows, identifies process and control gaps, updates policies and procedures, supports regulatory change implementation, and coordinates cross-functional initiatives. The role requires strong knowledge of the Investment Advisers Act of 1940, SEC and FINRA requirements, compliance analysis, risk controls, and advisory industry practices.

Supports advisory-services compliance by analyzing regulatory issues, filings, policies, procedures, controls, and workflows. Performs regression testing, data validation, reconciliations, and quality control for compliance reports and system enhancements. Develops oversight procedures and standard operating procedures, identifies process improvements, coordinates issue remediation, and assists branch personnel with advisory-related policies and regulations. Collaborates with internal business and technology stakeholders to implement scalable compliance solutions.

Supports the Private Alternatives compliance program through surveillance, testing, risk assessment, control-gap identification, remediation tracking, governance coordination, policy enhancement, and regulatory monitoring. Partners with investment, legal, sales, operations, and other stakeholders to address compliance risks involving private funds, conflicts of interest, fund governance, and allocation practices. The role also supports Rule 206(4)-7 reviews, documentation, reporting, and strategic program development.

Supports Citi’s Commercial Credit Cards and Domestic Payments businesses as a compliance officer. Responsibilities include identifying and escalating compliance risks, developing policies and controls, reviewing new payment products, supporting regulatory examinations, researching rule changes, and advising cross-functional stakeholders on regulatory requirements and risk management.

College intern supporting internal audit and compliance activities through data analysis, process documentation, risk assessments, flowchart development, report and presentation preparation, and participation in compliance reviews and enterprise risk management initiatives. The role provides training and exposure to transit operations, audit methodology, business process evaluation, data analytics, AI-enabled workflows, and professional communication.

Prepares accounting reports for federal and state agencies, learns insurance accounting principles, supports automation of manual accounting processes, analyzes stored data to solve problems, and provides management reports for decision-making. The role requires strong organization, communication, independent judgment, and complex problem-solving skills, along with a degree in Accounting or Finance or equivalent experience.

Manages global grant financial management, compliance, reporting, budgeting, audits, and project close-outs for humanitarian programs. Serves as a liaison among program teams, subrecipients, finance departments, and donors; reviews financial reports, supports agreement development, monitors compliance requirements, develops tracking tools, and oversees cost applications. Requires English and Spanish fluency, international travel up to 30%, and experience with complex budgets, donor regulations, and grants management.

Manage global grant financial management, compliance, reporting, budgeting, audits, and project closeout. Serve as the primary finance and compliance contact for program teams, subrecipients, headquarters, and country offices. Review financial reports, prepare donor submissions, assess partner capacity, monitor corrective actions, develop compliance tools, and ensure adherence to donor and CRS policies. The role requires fluency in English and French and travel of up to 30%.