Top Compliance Jobs

Support Chief Compliance Officers for multiple mutual fund and ETF trusts. Review and monitor adviser compliance programs and service providers, conduct and report annual due diligence visits, prepare Trust Board reports and certifications, assist with onboarding/offboarding, monitor compliance gaps, support quarterly adviser calls, and complete assigned projects.

Partner with business lines and RCA teams to maintain risk management and compliance frameworks. Review and resolve customer complaints, investigate potential policy violations, identify gaps, escalate risks, and support ad hoc projects. Serve as liaison between business and lines of defense to ensure adherence to laws, regulations, and internal policies.

Leads U.S. compliance work across BSA/AML, consumer financial protection, banking, payments, and card-network requirements. Reviews transaction-monitoring alerts, investigates suspicious activity, prepares SAR recommendations, and handles sanctions, PEP, and other high-risk cases. Translates regulations into controls and procedures, advises product and engineering teams, improves KYC/KYB and monitoring processes, supports audits and examinations, and manages relationships with regulators, banking partners, and internal stakeholders.

Owns multi-state payroll and sales tax compliance, including registrations, filings, reconciliations, amended returns, notices, penalties, unemployment claims, and historical cleanup. Researches state and local tax requirements, resolves discrepancies with agencies and payroll providers, maintains exemption certificates, and manages business registrations and compliance deadlines. Develops centralized compliance calendars and documentation while independently handling complex accounting and tax issues.

Lead and coordinate state and local audits, manage multi-entity compliance for taxes and licenses, maintain audit-ready documentation, evaluate and improve internal controls, track and resolve notices/assessments, develop compliance policies and reports, and support compliance systems and process improvements across hospitality properties.

Lead Rayda’s compliance and risk framework across internal operations and third-party vendors. Responsibilities include vendor due diligence, KYB, risk and compliance registers, control monitoring, remediation, information security and privacy compliance, customer audits, security questionnaires, cross-functional control implementation, executive reporting, and process automation.

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 the global investment management compliance program for registered investment advisers and 1940 Act funds. Responsibilities include service-provider due diligence, non-financial risk assessments, Board and senior-management reporting, risk-based compliance testing, incident management, remediation oversight, and enhancement of compliance controls and governance. The role partners with Chief Compliance Officers, Legal, Risk, business stakeholders, fund boards, senior management, and regulators.

Lead financial discovery and analysis for Legal & Compliance, synthesize historical datasets, maintain strict data custody, improve reporting and automation (including AI tools), advise stakeholders, and deliver accurate, timely regulatory and compliance reporting.

Process participant-level retirement plan data, scrub and upload records, interpret plan documents, calculate complex employer contributions, reconcile nondiscrimination testing and reporting, ensure IRS compliance (RMDs, loan delinquency), and coordinate with Compliance & Government Reporting and Client Service teams.

Perform annual compliance testing and prepare Form 5500 and related schedules for defined benefit and contribution plans. Respond to audit inquiries, calculate required minimum distributions/contributions, prepare Form 5330, and complete ERISA requests and special projects while coordinating with clients and internal teams to ensure IRS/DOL compliance.

Support and oversee payroll tax operations including Workday payroll tax setup, multi-state tax filings, reconciliations, SUI rate updates, tax notice resolution, audit support, payroll processing supervision, system audits, and process improvements to ensure timely, accurate, and compliant payroll and tax reporting.

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.

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.