Top Compliance Jobs

Rotates across Employee Activities, Branch Activities, and Surveillance compliance teams. Responsibilities include analyzing reports, supporting branch examinations, gathering CRD data, assisting with testing, drafting memos, maintaining records, migrating files to SharePoint, and contributing to risk-management and compliance projects.

Supports the Anti-Money Laundering Financial Intelligence Unit through exposure to transaction monitoring, related systems, and financial crime risk identification. Collaborates with team members to evaluate artificial intelligence platforms and explore ways to improve departmental processes. Contributes to team projects while handling sensitive information confidentially and applying academic knowledge.

Oversees advisory-services compliance programs, controls, reports, testing, data validation, and regulatory reviews. Develops procedures, monitors investment-adviser rule changes, evaluates workflows, supports remediation, and advises branches on compliance policies. Requires strong knowledge of securities regulations, analytical judgment, communication skills, and experience improving compliance processes in brokerage or investment advisory environments.

Supports the AML and Fraud team by learning how financial institutions identify suspicious activity, financial crime, fraud risks, and high-risk transactions. The intern shadows experienced team members, handles sensitive information confidentially, contributes to team projects, and gains exposure to AML and broader Compliance functions while applying academic knowledge and analytical reasoning.

Supports Stifel’s Regulatory Affairs team with daily regulatory tasks, special projects, agency-related matters, and a summer-long project. The intern gains exposure to financial services compliance, regulatory agencies, and firm-wide professional networks while developing organizational, communication, collaboration, and prioritization skills.

Supports daily, monthly, and quarterly mutual fund compliance workflows, including monitoring investment restrictions, reviewing regulatory requirements, maintaining compliance checklists, populating compliance systems, preparing audit materials, and assisting with regulatory reporting. The role communicates with fund advisors, auditors, regulatory agencies, and internal accounting, tax, financial administration, and legal teams.

The Senior Compliance Analyst conducts compliance testing, evaluates risks and controls, maintains compliance resources and documentation, supports regulatory examinations and audits, prepares committee materials and certifications, monitors policy adherence, and presents findings. The role requires financial services compliance expertise, knowledge of SEC and FINRA regulations, strong analytical and organizational skills, and the ability to mentor associates and coordinate compliance activities.

Own Motive’s global financial products compliance program across AML/BSA, sanctions, KYC/KYB, PEP screening, transaction monitoring, lending compliance, audits, and regulatory relationships. Develop policies and controls, ensure operational effectiveness, manage bank and card network partners, monitor regulatory changes, support compliant product launches, and establish governance across multiple jurisdictions including the US, Canada, and UK/EU. Build the compliance function and advise leadership on compliance risk.

Conduct routine and for-cause compliance examinations of branch offices and advisory locations for an SEC-registered investment adviser and FINRA-regulated broker-dealer. Assess adherence to SEC, FINRA, state, and internal requirements; test risk areas; document findings; report violations; track remediation; maintain examination records; refine procedures; identify trends; and support regulatory examinations.

Conduct risk-based compliance reviews of marketing and communications for registered investment adviser and broker-dealer businesses. Evaluate materials under SEC Marketing Rule, FINRA requirements, and applicable regulations; identify regulatory and reputational risks; provide practical guidance; maintain policies and controls; train stakeholders; monitor regulatory developments; support audits and examinations; improve review workflows and technology; and mentor team members.

Supports branch examinations and compliance testing through SQL-based analysis, dashboards, data validation, repeatable testing, risk identification, and remediation tracking. The role investigates exceptions and trends, communicates findings to nontechnical stakeholders, documents data logic and quality checks, and collaborates with compliance, business, examination, and technology teams. It also helps automate recurring reporting and testing using Alteryx, Power Automate, and Power Apps.

Manages the Internal Control over Financial Reporting compliance program, including risk assessments, control documentation, walkthroughs, design and implementation testing, operating effectiveness testing, deficiency remediation, and audit coordination. Partners with process owners, management, and auditors; evaluates control gaps; prepares executive reports; leads compliance initiatives; and guides stakeholders on control requirements and remediation.

Executes internal control compliance activities, including process documentation, walkthroughs, design and implementation testing, and testing of operating effectiveness. Analyzes control deficiencies, tracks remediation, supports internal and external audits, assesses regulatory compliance, and develops compliance guidance and training materials.

Leads accounting teams supporting insurance brokerage and enterprise operations. Oversees financial close, reconciliations, journal entries, reporting, US GAAP compliance, SOX controls, audits, and regulatory requirements. Partners with Finance, Treasury, IT, and Internal Audit to strengthen controls, improve processes, automate work, and support system implementations. Develops team members, manages performance metrics, and coordinates accounting activities for assigned entities and acquired businesses.

Complete insurance filing certifications, analyze state insurance laws, draft contracts and form revisions, recommend objection responses, conduct client-specific research, submit product filings, monitor state correspondence, maintain filing records, and distribute approved filings to clients.

Leads quarterly and annual income tax provision processes under ASC 740, SEC tax reporting, and U.S. federal and state tax compliance. Reviews tax calculations, disclosures, reserves, book-to-tax adjustments, and filings; supports audits, examinations, planning, transactions, SOX controls, and process improvements. Partners with accounting, legal, treasury, auditors, and external tax providers while managing compliance workstreams and developing tax technology capabilities.

Leads the tax division’s compliance program, including regulatory oversight, risk management, internal controls, compliance reviews, reporting, due diligence, and loss prevention. Advises leadership, BSA/AML operations, and business risk groups; manages compliance teams; oversees tax office due diligence; supports fair lending and regulatory initiatives; and resolves compliance issues while ensuring adherence to banking, tax, and consumer finance requirements.

Leads independent, risk-based compliance testing and validation engagements within a bank’s second-line compliance function. Plans and oversees testing, evaluates controls and regulatory outcomes, validates corrective actions, performs analysis, documents findings, and escalates issues. Provides subject matter expertise, manages stakeholders, mentors team members, and supports initiatives involving automation, artificial intelligence, data-driven insights, and reporting improvements.

Conducts internal audit engagements with minimal supervision, including risk assessment, business process analysis, control design evaluation, control testing, issue drafting, and audit reporting. Supervises staff auditors, documents audit work, develops cost-effective recommendations, manages deadlines, and applies knowledge of compliance, financial services, regulations, and risk management.

Conducts on-site and in-office taxpayer documentation reviews to assess compliance with laws and regulations. Prepares workpapers, spreadsheets, reports, and database records; communicates with taxpayers to request information and explain requirements; responds to inquiries; and discusses findings with Revenue professionals. The role requires accounting or finance education and experience, analytical and research skills, intermediate Word and Excel proficiency, a valid driver’s license or authorized transportation, and limited travel with possible extended hours.

Reviews retail communications for compliance with insurance, securities, FINRA, SEC, and state and federal regulations. Researches advertising requirements, responds to regulatory and customer inquiries, coordinates subject matter expert reviews, communicates compliance changes, maintains review records, and updates internal compliance materials. The role requires managing high volumes of work under tight deadlines in a fully remote environment.

Leads and personally administers an investment adviser compliance program, including monitoring, testing, reviews, risk assessments, regulatory filings, investigations, training, and remediation. Serves as the primary liaison with LPL Financial, advises leadership and advisors on SEC and broker-dealer requirements, coordinates examinations and audits, tracks corrective actions, and escalates significant risks. The role requires independent judgment, strong documentation and investigative skills, and hands-on ownership of compliance operations.

Supports portfolio trade compliance through pre- and post-trade monitoring, rule coding and testing in Charles River, regulatory interpretation, breach reviews, incident reporting, client onboarding, and compliance reporting. Collaborates with portfolio management, legal, operations, and sales while supporting UCITS, CSSF, Investment Company Act, ESG, and SFDR requirements across diverse asset classes.

Leads the centralized risk and compliance function for Wealth Management Solutions. Oversees regulatory reporting, controls, governance committees, risk assessments, supervisory procedures, audits, vendor risk, licensing, and regulatory coordination. Identifies control gaps, manages remediation, partners with senior leaders and regulators, and promotes risk awareness. Leads and develops a team of risk professionals while ensuring broker-dealer compliance and effective operational, financial, and regulatory risk management.

Reviews and approves sponsor reimbursement submissions for regulatory and policy compliance, including FINRA non-cash compensation requirements. Partners with advisors, sponsors, OSJs, commissions, and internal stakeholders to resolve issues and process reimbursements. Supports institutional clients, updates policies and procedures, creates training and advisor materials, delivers educational presentations, and tracks operational metrics and trends.