Top Compliance Jobs

Manage accounting and financial tasks for government grants and contracts, including budgets, claim billing, reconciliations, month-end journals, petty cash, bank transfers, payroll journaling, invoice processing, and support for audits and annual consolidation. Monitor compliance with GAAP, government regulations, and Salvation Army policies. Provide occasional AP/receipting backup, track fleet registrations, and perform other duties as assigned. Driving on Salvation Army business is required.

Supports and manages the bank’s regulatory compliance program by interpreting banking laws, updating policies, monitoring controls, conducting risk assessments, investigating violations, and coordinating audits and examinations. The role advises personnel on compliance matters, reviews customer-facing communications, provides training, and monitors BSA/AML and OFAC developments. It requires strong regulatory research, analytical, writing, organizational, and presentation skills, along with commercial banking compliance experience.

Develops and maintains compliance policies, conducts risk assessments and audits, advises cross-functional teams, trains employees, monitors compliance metrics, and tracks regulatory and industry changes. The role requires at least five years of compliance experience, strong analytical and communication skills, compliance software proficiency, and relevant professional certification. Experience with SOX, Dodd-Frank, financial markets, and analytics tools is advantageous.

Supports and enhances the firm's compliance program by maintaining policies, conducting annual assessments, monitoring employee trading and regulatory compliance, assisting with SEC filings, reviewing contracts, and coordinating compliance, harassment, and cybersecurity training. The role also monitors cybersecurity controls, supports business development and investor relations compliance, researches industry practices, and prepares policies and disclosures.

The Senior Wealth Advisor manages client relationships, delivers wealth management services, and supports growth through referrals and marketing, all in a remote, independent capacity.

Supports the firm’s compliance program across investment adviser, broker-dealer, and fund activities. Responsibilities include maintaining procedures, regulatory filings, risk assessments, vendor reviews, marketing and communications surveillance, sales practice supervision, branch audits, and regulatory examinations. The analyst monitors regulatory developments, updates compliance programs, supports training and reporting, and partners with legal, marketing, and business teams on initiatives.

Manages fraud detection, loss prevention, and financial risk compliance programs for a credit union. Develops monitoring processes, analyzes high-risk accounts, prepares regulatory reports, conducts investigations, supports loss recovery, and collaborates with compliance, law enforcement, insurers, and leadership. Provides subject matter expertise, coaching, secondary reviews, trend reporting, and dashboard metrics while ensuring adherence to BSA/AML, FinCEN, Regulations E and CC, and organizational policies.

Leads Citi’s enterprise Conduct Risk Management program, including compliance policies, risk assessments, controls, monitoring, regulatory engagement, remediation, stakeholder influence, and oversight of geographically diverse compliance teams. Develops proactive risk insights, ensures compliance with laws and regulations, represents the firm to regulators and auditors, and manages talent, governance, training, and program execution.

Supports investment adviser and broker-dealer compliance through communications monitoring, testing, regulatory filings, employee compliance administration, governance documentation, regulatory exam support, and operational process improvements. The role maintains compliance records and calendars, handles inquiries, supports training and onboarding, and contributes to automation and AI-driven workflow optimization under regular supervision.

Supports retirement plan compliance for an assigned client portfolio by performing IRS compliance testing, reconciling contributions, calculating employer contributions, preparing regulatory filings and plan documents, and reviewing participant distributions and loans. Provides backup client support and collaborates with internal teams to ensure accurate plan administration.

Manages payroll tax accounting and compliance across federal, state, and local jurisdictions. Leads a five-person accounting team, oversees tax filings, reconciliations, audits, regulatory reporting, and payroll system configuration. Serves as the lead ADP administrator and collaborates with internal stakeholders, vendors, the IRS, and state agencies. Drives process improvements while ensuring GAAP compliance, data accuracy, confidentiality, and timely year-end reporting.

Supervises team activities and performs warehouse compliance, risk management, and internal control audits. Prepares audit reports, tracks corrective actions, maintains regulatory and hazardous materials documentation, develops safety policies, procures PPE, coordinates OSHA and CPR training, and investigates safety incidents. The role requires warehouse auditing and safety experience, strong knowledge of auditing standards and regulations, advanced Microsoft Office proficiency, analytical ability, and effective communication.

Manage the full lifecycle of inbound KYC requests, including intake, documentation review, validation, client communication, recordkeeping, and timely resolution. Apply global KYC, AML, and international regulatory requirements, monitor regulatory changes, maintain audit-ready records, and escalate issues appropriately. The role operates in a high-volume, client-facing environment serving asset managers, private equity firms, and counterparties.

Supports a broker-dealer compliance program by maintaining policies and procedures, assisting with representative registrations, conducting compliance testing, delivering regulatory training, monitoring regulatory developments, and responding to regulatory inquiries. The role requires broker-dealer compliance experience, familiarity with FINRA and investment adviser regulations, strong data analysis, organization, attention to detail, and communication skills.

Conducts frequent onsite compliance audits across assigned markets and regions, evaluating adherence to policies, procedures, regulations, and operational standards. Documents findings, identifies trends and systemic risks, prepares audit reports, recommends improvements, maintains confidential records, and escalates significant concerns to executive leadership. Partners objectively with field leaders and cross-functional teams to strengthen processes, accountability, quality, and continuous improvement. This remote-first role requires approximately 90% travel.

The Compliance Officer ensures advisors and associated persons comply with federal, state, SEC, FINRA, MSRB, and firm requirements. Responsibilities include researching regulations, communicating compliance requirements, reviewing applications and advertising, testing policies and procedures, supporting audits, and serving as a supervisory principal or subject matter expert. The role also contributes to compliance program development, risk assessment, investigations, and continuous improvement while handling sensitive information and collaborating across the firm.

Build and operate the Trust Bank’s Compliance Management System, leading fiduciary compliance, third-party risk, affiliate transactions, privacy, UDAP, regulatory monitoring, training, and compliance reporting. The role prepares Board and committee materials, supports audits and examinations, drafts policies and procedures, and provides second-line oversight across risk assessments, monitoring, testing, and issue management.

Lead US GAAP tax accounting and compliance: prepare and review ASC 740 provisions, manage federal/state/local filings, coordinate audits, improve tax processes, and advise business units on tax matters.

Manages regulatory engagement with UK regulators and industry bodies, coordinates FCA consultation responses, monitors emerging regulatory developments, and provides strategic compliance insight. The role prepares executive briefings, supports governance forums, identifies regulatory risks and opportunities, and partners with Compliance, Risk, Legal, Public Affairs, and business teams to shape policy positions and regulatory change responses.

Lead and enhance the company’s BSA/AML compliance program within a fintech and Banking-as-a-Service environment. Responsibilities include regulatory interpretation, risk assessments, CIP/CDD and OFAC oversight, SAR investigations, 314(a) requests, transaction monitoring, compliance testing, reporting, audits, examinations, training, issue management, root-cause analysis, and remediation tracking. The role serves as a senior subject matter expert partnering with compliance, operations, product, technology, banking partners, and third-party providers.

Performs consumer compliance tasks, including preparing and mailing adverse action notices under the Equal Credit Opportunity Act, managing regulatory compliance queues, distributing compliance mail, monitoring inboxes, and supporting Compliance Manager projects. Requires strong organization, attention to detail, communication, work ethic, and proficiency with Microsoft Office applications. Encompass experience is helpful but not required.

Supports investment management clients with regulatory compliance, including personal trading, email and trade monitoring, regulatory filings, SEC and CFTC registrations, examinations, issue investigations, regulatory change assessments, marketing reviews, and compliance training. The role requires accurate work across multiple assignments, client and regulator communication, confidentiality, and strong organization. Candidates should have a bachelor’s degree and 1–3 years of relevant compliance experience, preferably in investment advisory, banking, legal, or alternative investment environments.

Supports enterprise and operational risk and compliance oversight for AustralianSuper’s US business. Responsibilities include embedding the risk management framework, leading second-line control testing, overseeing incident management, assessing regulatory obligations, preparing governance reports, coordinating with Internal Audit, and advising stakeholders on risk and control improvements. The role also supports risk culture, regulatory awareness, stakeholder engagement, and cross-border alignment across US and Australian operations.

Conduct enhanced due diligence reviews for high-risk customers, assess transaction activity, perform customer risk assessments, manage escalations, and provide AML/CFT subject matter expertise. Lead EDD enhancement projects, monitor global regulatory requirements, draft policies and guidance, analyze beneficial ownership structures, and train employees on compliance procedures.

Own and lead Palmetto’s end-to-end SOX 404 compliance program, including scoping, risk assessment, controls documentation, testing, remediation, ITGC evaluation, and audit coordination. Partner with Accounting, Finance, Tax, IT, Legal, and HR to strengthen financial reporting controls. Report program status and metrics to executives and the Audit Committee, deliver controls training, and monitor SEC, PCAOB, and COSO developments.