Top Compliance Jobs

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 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.

Leads complex franchise royalty compliance audits, mentors audit staff, resolves issues with franchisees, identifies audit trends, supports risk assessments and audit planning, and improves departmental policies, processes, and documentation. Serves as a subject matter expert on royalty processes while assisting with training, communications, and special projects.

Lead and enhance the Financial Crime Compliance risk assessment program (AML, sanctions, CFT, CPF). Assess and document FCC risks and controls, produce actionable reporting, advise stakeholders, provide guidance and training, identify emerging risks, interact with regulators and auditors, and manage projects to meet deadlines.

Serve as primary liaison for state and federal regulatory examinations, coordinating requests and responses, developing and implementing corrective action plans, conducting follow-up audits, preparing reports for regulators and leadership, and partnering with business units to maintain compliance monitoring policies and procedures.

The Audit Manager I will lead audit engagements, oversee audit processes, mentor staff auditors, and enhance risk management. They ensure audits align with regulatory guidelines and maintain communication with management regarding audit status and findings.

The role involves conducting audits, executing testing of controls, coordinating stakeholder communication, and reviewing internal controls, while managing workload to meet deadlines.

Provide compliance oversight for deposit products and back-office operations, perform change risk assessments, manage issue and regulatory change management, monitor complaints and controls, validate first-line testing, map controls to regulatory requirements, and partner with business and compliance stakeholders to remediate gaps and ensure regulatory alignment.

The Senior Auditor oversees audit engagements, assessing control effectiveness and compliance with regulations while leading audit projects and training staff auditors.

The Audit Manager I oversees audits, executes compliance checks, and presents findings, contributing to risk assessment and operational efficiency improvement initiatives.

The Compliance Business Oversight Manager oversees compliance in Consumer Banking, ensuring adherence to regulations, managing compliance risks, and advising stakeholders on best practices.

The Audit Compliance Manager I oversees and conducts audits, ensuring compliance with standards while providing insights for operational improvements. They lead projects, communicate findings, and manage stakeholder relationships, focusing on internal controls and risk assessments.

Lead compliance across APAC, overseeing AML/CTF and financial crime management while advising senior leadership and ensuring industry standards are met.