Top Compliance Jobs

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.

Lead internal control and compliance activities including SOX testing, risk assessments, remediation projects, and month-end accounting support. Coordinate with internal and external auditors, maintain compliance reporting, manage ERP GRC processes, and support regulatory, tax, and statutory reporting. Provide training, process improvements, and monitor controls to mitigate financial and compliance risk.

Lead a team to design, develop, test, implement, and optimize AML transaction monitoring scenarios. Manage the full scenario lifecycle, collaborate with stakeholders (Product, Technology, Decision Science, Model Risk), evaluate ML opportunities, govern project intake, and report on scenario performance and KRIs/KPIs. Continuously improve detection coverage, efficiency, and documentation to support SAR processes.

Lead and execute control testing for Global Sanctions to ensure sanctions risk is mitigated across the enterprise. Independently test controls, liaise with issue management, partner with control and technology teams for model validation and reporting, oversee non-model tools, support remediation and risk assessment activities, and build/document controls for sanctions-related processes.

Serve as second-line compliance oversight for the Chief Financial and Strategy Office. Identify, assess, monitor, and remediate compliance risks; maintain regulatory inventory; execute risk assessments; oversee remediation and vendor regulatory risk; support regulatory exams and audits; develop and maintain compliance policies; and provide advisory challenge and coordination across business stakeholders.

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 distributions and loans. Provides client and participant support, identifies discrepancies, and collaborates with internal teams to ensure accurate plan administration. The role offers training and growth toward client-facing responsibilities.

Supports OnePay’s second-line compliance control environment through control framework maintenance, risk assessments, risk-based monitoring, data quality reviews, process improvements, and product compliance oversight. Partners with cross-functional teams on regulatory, operational, and third-party changes; provides advisory challenge; evaluates control impacts; and prepares leadership and governance reporting. The role also applies analytics, automation, and AI-enabled tools to improve monitoring efficiency and coverage.

Support global compliance functions by monitoring regulatory trends, assessing risk, and ensuring firmspolicies and controls meet requirements. Work across Financial Crime Compliance, Core Compliance, Compliance Testing, Markets Surveillance and Global Banking & Markets to analyze issues, manage projects, interact with senior stakeholders, and help design and test controls to prevent financial crime and regulatory breaches.

The BSA/AML Compliance Associate will support the bank's compliance programs, focusing on transaction monitoring, alert review, and SAR drafting, while collaborating with various stakeholders.

Leads Financial Crime Compliance for Manulife’s U.S. insurance, wealth, and asset management businesses. Oversees AML, sanctions, fraud, anti-bribery, and corruption risks; advises senior leaders; engages regulators; supports examinations and remediation; presents risk updates to governance committees; and partners across compliance, risk, technology, and business teams to modernize financial crime capabilities and processes.

Leads cost adjudication, accounting compliance reviews, forensic analyses, and financial oversight for a federal defense program. Evaluates cost flows, overhead pools, WBS-aligned costs, and accounting treatments under GAAP and ASC standards. Develops auditable adjudication processes, prepares defensible recommendations for government stakeholders, and supports audit readiness. Requires extensive defense contractor or manufacturing accounting experience and an active CPA certification.

Supports credit compliance across TD Securities’ corporate lending portfolio. Responsibilities include reviewing deal documentation and covenants, maintaining LoanIQ profiles, monitoring reporting requirements, managing exceptions, reconciling compliance reports, maintaining records, coordinating with lending and operations teams, supporting audits and regulatory reviews, and improving compliance processes and controls.

Summer 2027 GRC interns support business process or IT risk and compliance engagements. Responsibilities include learning internal audit, internal controls, financial reporting, information systems, IT general controls, security administration, change management, systems development, and compliance frameworks. Interns may work with client teams and travel as required. Business-process candidates study accounting concepts, while IT candidates apply systems, security, and compliance knowledge.