Top Compliance Jobs

Manages regulatory compliance engagements for alternative and traditional investment clients. Responsibilities include overseeing client deliverables, annual reviews, regulatory filings, compliance policies, client training, mock examinations, SEC and FINRA exam support, regulatory change monitoring, internal control development, and outsourced Chief Compliance Officer functions. The role also mentors junior staff and contributes to business development and operational excellence initiatives.

Manages regulatory compliance engagements for alternative and traditional investment clients. Responsibilities include completing annual reviews and regulatory filings, updating compliance policies, leading trainings and mock exams, supporting SEC and FINRA examinations, monitoring regulatory changes, developing internal controls, mentoring junior staff, and providing strategic guidance with limited oversight.

Manage client regulatory compliance engagements for alternative and traditional investment sectors. Responsibilities include overseeing annual reviews, regulatory filings, compliance policies, client training, mock examinations, SEC and FINRA exam support, regulatory change monitoring, internal control development, and resolution of complex compliance issues. The role also mentors junior staff, supports outsourced Chief Compliance Officer services, and contributes to business development and operational excellence.

The Accounting and Compliance Officer manages accounting records, financial reporting, loan operations, client billing, funding documentation, lien searches, and regulatory compliance. The role coordinates internal and external examinations, supports legal and credit documentation, maintains OFAC and client records, updates procedures, trains staff, and advises teams on banking policies and regulatory requirements.

Oversee credit union regulatory compliance through research, risk assessments, monitoring, audits, regulatory interpretation, policy reviews, and change management. Advise management, the Board, and business units on compliance matters, support product development, prepare reports, conduct training, and identify corrective recommendations. Lead compliance assessments and reviews while managing deadlines and collaborating across organizational lines.

Reviews retail communications for compliance with firm policies, FINRA, SEC rules, and applicable laws. Explains required revisions, ensures record retention, researches policy questions, maintains compliance materials, supports workflow processes, and completes high-volume assignments within service-level deadlines.

Conducts detailed audits of resident and property hard files to verify compliance with housing laws, Fair Housing, ADA requirements, leasing agreements, safety regulations, and company policies. Identifies discrepancies, prepares audit reports, recommends corrective actions, collaborates with property management teams, supports compliance policy development, and provides training on documentation and record-keeping.

Conducts detailed hard-file audits of resident, lease, financial, maintenance, and property records to identify compliance issues. Reviews adherence to housing laws, Fair Housing, ADA, leasing requirements, and internal policies. Collaborates with property teams on corrective actions, prepares audit reports, supports compliance procedures, monitors regulatory changes, and provides documentation and record-keeping guidance and training.

Manage post-award administration and compliance for federal and state-pass-through grants. Responsibilities include monitoring budgets and expenditures, preparing financial reports and reimbursement requests, reviewing invoices and contracts, overseeing procurement compliance, maintaining audit-ready records, coordinating audits and closeouts, and partnering with Finance, program leaders, vendors, subrecipients, and funding agencies.

Leads the bank’s BSA/AML, CFT, OFAC sanctions, KYC/KYB, transaction monitoring, investigations, regulatory reporting, and digital-asset compliance programs. Reports to the Board, manages regulatory examinations and remediation, oversees blockchain analytics and Travel Rule controls, builds the compliance team, manages vendors and budget, and partners with Product and Engineering to embed controls across stablecoin, custody, and payment operations.

Supports the organization’s governance, risk, and compliance program through process documentation, financial control evaluation, control testing, remediation, audit coordination, regulatory monitoring, and policy support. The role partners with the Corporate Controller, IT, consultants, and finance stakeholders on ERP changes, GRC tools, training, process automation, and continuous improvement. Responsibilities also include supporting accounting operations, J-SOX compliance, internal and external audits, and enterprise-wide control enhancements.

Supports the investment firm's compliance program by reviewing marketing and advertising materials under SEC and FINRA requirements. Responsibilities include regulatory research, cross-border marketing guidance, policy testing, employee training, RFP and due diligence support, examination preparation, and maintaining review records. After obtaining Series 24, the officer will review communications for mutual funds, ETFs, UCITS, and other registered fund products.

Advises business, operations, and technology teams on US, UK, and EU government sanctions compliance. Investigates sanctions matters, assesses controls and business activity, supports regulatory and internal audits, prepares reports and disclosures, manages governance obligations, delivers employee training, and provides subject matter expertise on sanctions risks. Requires at least six years of sanctions advisory experience, strong regulatory analysis, communication, investigative, organizational, and stakeholder-management skills.

Manage federal and other grant compliance, including NSF award administration, budgeting, drawdowns, financial reporting, cost allowability, prior approvals, closeout, and audit documentation. Build organization-wide grant systems, calendars, policies, and record-keeping processes; coordinate with Finance and program staff; monitor regulatory changes; support grant proposals; and report compliance risks to leadership. The role is remote with occasional travel for team events and retreats.

Leads the enterprise-wide IT SOX compliance program, including risk assessments, scoping, control design oversight, documentation, remediation, SOC report reviews, training, and stakeholder coordination. Advises on system implementations, SDLC controls, IT policies, and emerging technology risks. Partners with IT, Finance, Internal Audit, control owners, and external auditors while reporting program status and risks to senior governance committees. The role also supports automation and continuous control monitoring but does not perform control testing.

Supports UK regulatory compliance for insurance claims operations. Responsibilities include resolving customer complaints, handling GDPR DSARs, DPA and RAD1 requests, reviewing sanctions alerts, maintaining compliance records, preparing reports, supporting audits and control testing, and identifying process improvements. The role applies FCA rules, Consumer Duty, UK GDPR, vulnerable-customer guidance and UK sanctions requirements while collaborating with claims, technology and quality teams.

Provides regulatory and compliance support to registered investment adviser clients. Responsibilities include assisting with annual reviews, risk assessments, compliance policies, regulatory filings, employee training, vendor reviews, forensic testing, and regulatory examinations. The role also supports compliance program maintenance and monitoring of SEC, NFA, and state requirements while developing expertise in investment adviser regulation.

Own and enhance the AML program for digital asset clients, including KYC, KYB, KYT, enhanced due diligence, transaction monitoring, investigations, and SAR filing determinations. Lead Chainalysis implementation, configuration, alert-rule development, and risk calibration. Manage case workflows, identify blockchain transaction typologies, coordinate with legal and technology teams, and respond to regulators and law enforcement across global jurisdictions.

Supports governance, risk, and compliance initiatives through risk and control assessments, issue tracking, monitoring, data analysis, dashboards, regulatory research, management reporting, process improvement, and automation. Collaborates with cross-functional teams to strengthen governance practices and regulatory adherence. This internship is limited to students currently attending St. Augustine High School.

Monitors compliance for federally funded grant programs under 2 CFR Part 200. Reviews subrecipient agreements, budgets, risk assessments, audits, financial and performance reports, and supporting documentation. Conducts desk audits and site visits, tracks findings, recommends corrective actions, and supports resolution of deficiencies. Provides compliance training and technical assistance to programs staff, subrecipients, subcontractors, and vendors while documenting and reporting monitoring activities.

Leads Financial Crime Compliance for Manulife’s U.S. insurance, wealth, and asset management businesses. Oversees AML, sanctions, fraud, anti-bribery, and corruption risks; advises senior leaders; engages regulators; supports examinations and remediation; presents risk updates to governance committees; and partners across compliance, risk, technology, and business teams to modernize financial crime capabilities and processes.

Monitors compliance with public grants and private funding requirements, including budgets, invoices, reporting, audits, records, and closeout. Reconciles project budgets and expenditures, processes payables and labor reporting, prepares receivable invoices, coordinates contract development and implementation, and maintains grant and contract records. Supports conservation staff, partners, and landowners across the Great Plains region.

Supports federal, state, local, property, sales and use tax filings; reconciles tax accounts; assists with tax provisions, audits, regulatory research, and tax authority responses. Processes shareholder transactions and supports special tax projects, documentation, data management, and process improvements. The role requires accurate, organized handling of confidential information and compliance deadlines.

Supports the AML/CIU team by reviewing and analyzing reports, evaluating information for potential financial crime risks, managing assignments, and exploring artificial intelligence applications to improve departmental productivity. The intern will shadow experienced team members, collaborate on hands-on assignments, and develop exposure to anti-money laundering compliance processes.

Supports the AML department by developing and analyzing reports, collaborating on departmental projects, and exploring artificial intelligence and technology improvements. The intern helps identify ways to increase productivity and efficiency while managing multiple assignments accurately. The role requires a currently enrolled bachelor’s student in Criminal Justice, Finance, or Criminology with Microsoft Office proficiency, strong attention to detail, and effective collaboration skills.