Top Compliance Jobs

Leads consumer compliance, BSA/AML, fintech partner, and regulatory testing and monitoring programs. Directs testing professionals, reviews results, reports risks and trends to management and board committees, validates issue remediation, coordinates audits and regulatory exams, and advises stakeholders on compliance controls. Requires strong knowledge of consumer compliance laws, leadership, project management, communication, and regulatory testing experience.

Supports consumer compliance risk management for a bank by conducting regulatory, third-party, product, and service risk assessments; monitoring complaints; researching regulations; identifying systemic issues; preparing dashboards and management reports; guiding business lines; supporting training, testing, marketing reviews, procedures, and regulatory compliance initiatives.

Leads financial reporting risk management, SOX compliance, internal control design, audit coordination, remediation, governance, and compliance training. Advises finance and business teams on risks related to process changes, system implementations, automation, acquisitions, and emerging technologies. Partners with process owners, auditors, and senior leadership to strengthen, standardize, and automate the control environment.

Participate in a 12-week banking internship supporting AML or Governance, Risk & Compliance teams. Assist with KYC reviews, alerts, case investigations, compliance projects, data analysis, documentation, reporting, regulatory adherence, meetings, process improvement, and administrative tasks supporting the bank’s compliance program.

Supports casino compliance activities by maintaining records, auditing departmental documents, investigating control violations, preparing CTR and SARC filings, monitoring sensitive transactions and keys, coordinating internal and external audits, and preparing compliance reports. The role requires knowledge of Title 31, ICS, FinCEN regulations, gaming operations, accounting, and casino controls. It also involves document retention, deadline management, weekend or holiday work, and obtaining a gaming license through background screening.

Conduct daily electronic communications surveillance across email, chat, text, and messaging platforms. Triage alerts, identify compliance and conduct risks, document audit-ready case records, gather evidence, draft findings, and escalate complex issues. Use AI-assisted tools, prompt engineering, and automated workflows to improve alert review and model accuracy. The role also supports process enhancement and develops expertise in crypto regulations, market conduct, and emerging compliance technologies.

Investigate potential market abuse, including wash trading, spoofing, layering, insider trading, and price manipulation. Review surveillance alerts, analyze trading data and market research, document evidence-based conclusions, and maintain audit-ready records. Collaborate with Product, Engineering, Legal, Risk, and Compliance teams to improve surveillance processes. Support special projects and priority investigations in a fast-paced global digital-asset environment.

Conduct communications surveillance for Corporate and Investment Banking, reviewing email, chat, and other channels for market abuse, information-barrier breaches, conflicts, and policy violations. Analyze alerts, escalate potential issues, update case records, support regulatory reviews and audits, calibrate surveillance systems, identify process improvements, and collaborate with Compliance, Control Room, Technology, trading desks, auditors, and regulators. Coach colleagues and manage specialized compliance activities independently.

Leads Americas compliance activities, independently handling complex client inquiries, developing practical solutions, identifying risks and workflow gaps, and strengthening policies and processes. Builds trusted client and stakeholder relationships while leading regional projects and contributing to global initiatives and group-level OKRs. Requires strong judgment, communication, analytical, organizational, confidentiality, and independent-working skills.

Manages internal audit and compliance activities, including financial, operational, IT, SOX, and regulatory audits. Develops risk-based audit plans, evaluates controls, identifies risks, drafts reports, tracks remediation, coordinates with external auditors, and manages co-sourcing partners. Helps build Caturus’s new Internal Audit and Compliance function, advises management on governance and controls, and supports the Director of Internal Audit.

Oversee and enhance mortgage Compliance Monitoring and Testing programs, including procedures, test scripts, quality assurance, reporting, and risk assessment. Provide regulatory guidance across lending channels, coordinate regulatory examination and audit file requests, and support Branch Audit activities. The role evaluates control effectiveness, validates findings, escalates deficiencies, coordinates corrective actions, and drives continuous compliance improvements across mortgage operations.

Lead Markets Compliance for a US broker-dealer, advising business and platform leaders on SEC and FINRA requirements. Build and maintain compliance programs, conduct risk assessments, support monitoring reviews, analyze regulatory developments, implement controls, and assist the Chief Compliance Officer with reporting, remediation, and process improvements.

Senior compliance leader supporting a US broker-dealer within Markets Compliance. Advises business and platform leaders on SEC, FINRA, and broker-dealer regulations; designs and maintains compliance programs; conducts risk assessments and monitoring reviews; analyzes regulatory developments; implements controls; and supports the Chief Compliance Officer with reporting, remediation, and process improvements.

Leads TabaPay’s consumer compliance program and provides independent Second Line oversight for TabaBank’s consumer deposit products. Responsibilities include regulatory guidance, risk assessments, monitoring and testing, product and marketing reviews, complaint oversight, issue remediation, regulatory examination support, governance reporting, and program development. The role requires deep knowledge of consumer deposit regulations, UDAAP, privacy, compliance management systems, and regulated financial services.

Leads Gemini’s consumer and lending compliance program for deposit, credit card, and banking products. Advises product, technology, legal, risk, banking partners, and regulators; oversees monitoring, testing, complaints, third-party risk, fair lending, audits, examinations, reporting, remediation, and compliance communications. Manages compliance professionals, reports to governance bodies and the Board, and develops scalable compliance strategies for a fast-growing fintech environment.

Leads the credit union’s compliance management program, monitors regulatory changes, conducts risk assessments and investigations, reviews marketing and disclosures, develops compliance training, oversees third-party risk, and advises leadership and the Board on regulatory matters. The role also partners with internal audit and business units on examinations, reporting, and enterprise risk initiatives while coaching compliance team members.

Supports the enterprise compliance program across insurance and reinsurance operations by coordinating planning, risk assessments, testing, monitoring, issue tracking, regulatory inquiries, training, communications, policy governance, and records. Collaborates with Compliance, Legal, and business teams to address risks, strengthen controls, monitor regulatory developments, and maintain practical compliance processes.

Provides customer and operational support for surplus lines tax compliance. Responsibilities include managing client communications, processing tax reports, payments, and filings, coordinating with state regulators, overseeing backend tasks, mentoring team members, resolving escalated issues, and supporting leadership. The role requires accuracy, organization, strong communication, advanced Excel skills, and 1–2 years of surplus lines tax filing experience.

Develop and maintain insurance compliance programs for wholesale brokerage and Excess & Surplus operations. Monitor state regulations, surplus lines requirements, licensing, market conduct, filings, audits, and operational controls across jurisdictions. Provide regulatory guidance, conduct compliance reviews, assess risks, implement corrective actions, develop training and reporting, and collaborate with brokerage, underwriting, legal, finance, HR, and carrier teams.

Supports TD Securities’ Trade and Communications Surveillance portfolio by coordinating regulatory initiatives, remediation activities, governance reporting, project milestones, issues management, read-across reviews, procedures, regulatory responses, and program enhancements. The role collaborates with Compliance, Risk, Technology, business stakeholders, auditors, and regulators while tracking risks, maintaining documentation, preparing executive materials, and supporting an effective compliance control environment.

Conducts high-volume desk reviews and audits of partner documentation for a Customer Success Practice Maturity Program. Evaluates subjective evidence against established standards, converts findings into objective assessments, communicates requirements and feedback, and applies the LAER customer success framework. The role requires independent judgment, strong analytical and communication skills, audit or compliance experience, and executive presence when engaging partners and stakeholders.

Supports regulatory compliance through testing and monitoring first-line business functions, assessing compliance risks and controls, updating risk assessments, reviewing training materials, maintaining training records, and tracking compliance metrics and issues. The role requires knowledge of financial institution regulations, strong communication and attention to detail, and the ability to work independently and collaboratively in a hybrid environment.

Supports compliance operations for a registered investment adviser by reviewing client agreements, fees, trades, custodial forms, marketing materials, correspondence, technology usage, and outside business activities. Conducts audits, data validations, and advisor activity reviews; maintains policies and procedures; identifies process improvements; and contributes to compliance projects while partnering with advisors and business leaders.

Supports investment and compliance departments by overseeing cheapest share class reviews, analyzing investment manager fees, identifying discrepancies and billing errors, monitoring regulatory developments, maintaining audit documentation, and preparing compliance reports. Partners with investment leadership on compliance initiatives, improves monitoring controls, and advises partner teams on share class appropriateness, fee structures, and related fiduciary obligations.

Leads insurance compliance and regulatory operations, including complex customer escalations, state Department of Insurance complaints, carrier audits, regulatory correspondence, complaint logging, and audit-ready documentation. Partners with Legal, Product, and Engineering to resolve systemic issues, improve controls, and implement product or process fixes. Provides coaching and subject-matter guidance to customer service, compliance, and claims support teams while maintaining regulatory deadlines and carrier relationships.