Top Compliance Jobs

Oversee day-to-day financial management for a client portfolio: lead compliance team, prepare and file federal/non-federal campaign finance reports, maintain bookkeeping, budgets, cashflow, reconciliations, payroll, and client financial reporting while ensuring GAAP compliance and efficient workflows.

Lead a compliance team managing day-to-day financial operations for political and nonprofit clients, including FEC and nonfederal filings, bookkeeping, budgets, reconciliations, payroll and benefits, client reporting, onboarding/offboarding, GAAP compliance, vendor relationships, and workflow implementation.

Provide compliance advisory and licensing coordination for North American money transmission obligations, perform regulatory review, data analysis and visualization, update policies and controls, support NA licensing and compliance leadership, and drive process improvement and cross-functional collaboration.

Lead a team ensuring timely, accurate licensing and registration (FINRA Series 7 & 24). Hire, train, and evaluate staff; manage licensing submissions, renewals, and database integrity; coordinate continuing education and testing; liaise with compliance and regulators; resolve issues and support regulatory readiness.

Manage the Loans Enablement Platform team, develop risk frameworks, conduct audits, ensure compliance with regulations, and foster risk awareness.

Manage Compliance frameworks, lead assurance activities, and implement regulatory changes in Personal Financial Services. Advise stakeholders to enhance compliance practices and drive a culture of compliance across teams.

The Vice President will oversee compliance for credit secondaries products, ensuring adherence to regulations and internal policies. Responsibilities include compliance oversight, conflict resolution, and support for fund launches.

The Compliance Analyst manages compliance oversight, monitors regulatory adherence, and enhances internal controls, providing support to trading staff and ensuring data integrity.

The DC Compliance Analyst will manage client accounts, understand IRS regulations, perform nondiscrimination testing, and prepare audit packages and government filings.

The Compliance Director oversees regulatory compliance functions, mentors compliance professionals, and collaborates with stakeholders to ensure adherence to regulations.

As an Accounting Supervisor, you will guide a team in enhancing efficiency, ensure financial control and compliance, and manage accounting transactions and projects.

Design, maintain, and enhance BSA/AML frameworks, controls, and tooling for digital assets. Conduct client due diligence and risk assessments, perform crypto-related financial-crimes investigations using blockchain analytics, develop procedures and training, support regulatory exams and audits, and brief senior leaders on emerging risks and controls.

Manage design, execution, and continuous improvement of compliance activities for payments. Conduct assessments, control testing, regulatory analysis, remediation planning, reporting, policy maintenance, and stakeholder training to reduce regulatory risk and support audit readiness.

Support execution of the IT SOX compliance program: perform walkthroughs and control testing, collect evidence, maintain control documentation, evaluate ITGCs and application controls, coordinate remediation with control owners, support auditors, assist in IT risk assessments and training for control owners, and prepare status reports and dashboards.

Execute risk-based compliance monitoring and testing to validate bank adherence to laws and regulations. Develop workpapers, report findings with root-cause analysis, verify remediation, perform complaint and data analytics, use social media listening and AI tools for marketing compliance, and support annual risk assessments while maintaining stakeholder relationships.

Support the bank's compliance risk management by performing monitoring, transactional testing, and quality control. Track regulatory changes, assist reporting and risk metrics development, prepare reports for the Compliance Officer, and maintain knowledge of federal and state regulations affecting assigned areas.

Lead global sanctions compliance monitoring, resolve complex escalations, analyze due diligence and ABAC matters, prepare regulatory reports, deliver training, and partner with international teams to strengthen enterprise-wide sanctions controls and financial crimes prevention.

Lead design and oversight of investment compliance programs for the general account, ensuring adherence to insurance and securities laws and internal policies. Establish policies, monitor and test compliance (including derivatives), escalate and remediate issues, partner with Legal/Risk/Internal Audit, advise senior investment leaders, and build a high-performing compliance team while driving technology-enabled process improvements.

The Compliance Officer supports investment risk management by developing risk frameworks, conducting compliance reviews, and ensuring adherence to regulations, while fostering a risk-aware culture within the team.

Maintain and update customer insurance records and certificates of insurance (COIs); communicate with customers, brokers, sales, and AR/Credit to obtain and correct COIs; monitor expirations and escalate issues; enter COI and account data into systems and document imaging tools; evaluate insurance override requests and obtain commodity approvals when required.

The Payroll Tax & Compliance Analyst handles payroll tax filings, ensures multi-state compliance, reconciles accounts, and manages audit readiness while supporting integration projects.

The Senior Compliance Analyst manages compliance projects, prepares IRS filings, conducts nondiscrimination testing, and ensures regulatory compliance for 401(k) plans.

The Tax Specialist prepares federal and multi-state tax returns, manages compliance, supports audits, and collaborates on process improvements and data management.

The Mortgage Compliance & Quality Control Specialist ensures compliance with mortgage regulations, performs quality control reviews, and communicates findings to management.

The role involves designing a DCAA-compliant accounting system using QuickBooks Online and GovBooks, ensuring audit readiness, and managing government contract billing and reporting.