Top Compliance Jobs

The Financial Crime Compliance Officer will support compliance initiatives, maintain financial crime control frameworks, and assist with KYC and sanctions processes.

The Chief Risk & Compliance Officer is responsible for overseeing compliance and risk management across AIA Investment Management, ensuring effective governance and risk procedures, advising senior management, and participating in decision-making processes while maintaining relationships with regulatory bodies.

The Director of Grants Compliance oversees grant management, ensures compliance with regulations, conducts risk assessments, and provides training to subawardees, while managing a team.

This role manages professional wealth credentials, ensuring compliance and licensing details, facilitating training sessions, and optimizing processes for growth.

Lead compliance strategy for platform businesses, including framework development, risk assessments, regulatory advice, and monitoring systems. Collaborate with sales and product teams to integrate compliance as a key feature.

Lead government accounting operations, ensuring compliance with regulations, managing a remote team of accountants, and optimizing processes for operational efficiency.

The Compliance Specialist supports compliance programs through data analysis, testing, and surveillance, recommending improvements and monitoring developments.

The Director of Compliance, Financial Crimes will lead the Financial Crimes Unit, manage compliance programs, mitigate financial crime risks, and ensure adherence to regulations.

Conduct and assist gaming revenue audits to ensure compliance with Nevada Gaming Control Board and Boyd Gaming internal controls. Perform sample testing, review and maintain SOPs, administer annual recertification, prepare SOP updates, report discrepancies to management, and promote effective departmental and property relationships.

Oversee day-to-day surveillance and oversight of trading functions, identify and escalate trade compliance breaches, draft and maintain trading policies, lead projects, produce reports, deliver training, collaborate with IT and front office on controls, and advise management on regulatory developments and emerging trading risks.

Lead surveillance and oversight of the firm’s trading practices, manage a compliance team, draft policies, identify trading risks, collaborate with business and IT on regulatory solutions, train stakeholders, and support global compliance projects and committees.

Support client compliance requirements including preparing and QCing Form 5500 and schedules; perform ADP/ACP and other compliance testing; calculate and QC contribution and allocation calculations; advise on plan document provisions; provide client support and training; mentor associates; lead projects and improve client experience while protecting confidential data.

Perform onboarding and ongoing compliance oversight for Registered Investment Advisor (RIA) representatives, including U4/U5 and ADV 2B filings, monitoring Outside Business Activities, compliance testing, regulatory research, responding to inquiries, and coordinating with internal stakeholders to mitigate compliance risks.

Provide regulatory and compliance support to registered investment adviser clients, perform annual reviews under Rule 206(4)-7, maintain compliance programs and calendars, assist with regulatory filings (Form ADV, PF, 13F, etc.), conduct vendor and forensic testing, support regulatory exams, and help develop compliance policies, training, and risk assessment programs.

Lead enterprise payments compliance for merchant acquiring and processing, ensuring adherence to card network, sponsor bank, NACHA, PCI DSS and AML/BSA rules; partner cross-functionally, manage audits and reviews, maintain regulatory relationships, develop controls/training, oversee third-party and settlement compliance, and mentor compliance team.

Lead compliance oversight for Capital Markets equity activities: advise trading desks, monitor regulatory developments, design and execute surveillance, testing, reporting and remediation, draft policies and WSPs, support regulatory exams, and coordinate with IT and business partners to ensure regulatory compliance across equity products and initiatives.

The Director of Intelligence & Analysis leads complex financial crime investigations and analytics, integrates intelligence, and drives global compliance strategies.

Lead regulatory compliance activities within second-line Credit Risk, review controls and policies, manage regulatory issues and remediation, engage stakeholders, monitor regulatory changes, and translate requirements into control and process improvements to ensure adherence to US regulatory compliance framework.

Support the Compliance department by monitoring regulatory changes, executing rate changes, performing risk-based self-assessments, assisting with compliance management and regulatory exams, providing guidance on remediation, and participating in projects and training to ensure the credit union meets banking and BSA compliance requirements.

Perform second-line quality control of the banks AML/CFT program, review suspicious activity reports, file CTRs, support FinCEN 314(a)/(b) reviews, assist audits and regulatory exams, and recommend compliance enhancements.

The Compliance Specialist ensures adherence to regulations, develops compliance programs, investigates ethical matters, and prepares reports for leadership.

Lead PIMCO's global compliance program, ensuring governance, regulatory alignment, and effective risk management while mentoring a high-performing team and enhancing operational resilience.

The Energy Compliance Audit Supervisor will conduct audits for regulatory compliance in renewable fuels, prepare reports, analyze data, and liaise with clients.

The Capitol Compliance Officer & Internal Auditor role is responsible for conducting audits, ensuring compliance with regulations, and providing recommendations for fiscal practices with a focus on operational effectiveness. This position requires analyzing financial systems and maintaining internal audit systems within the Office of the State Treasurer.

Lead all aspects of U.S. income tax compliance for the company, including federal, state, international reporting, and tax provision support. Manage audits, improve processes, and supervise the tax team.