Top Compliance Jobs

Oversee Tenant Participation Activity and Councilmanic Fund budgets, ensuring compliant allocation, spending, financial controls, audits, and timely processing. Manage approximately six staff, review proposals under HUD and NYCHA regulations, identify improper fund usage, train staff and Resident Associations, develop policies, submit performance reports, and support cross-departmental initiatives.

Performs independent fiscal audits and compliance reviews across Department of Correction facilities, court cashier offices, bank accounts, and person-in-custody wage accounts. Responsibilities include site visits, reconciliations, cash-handling oversight, wage budget monitoring, fiscal year-end closing, accruals, reporting, vendor coordination, and staff training.

Conduct compliance monitoring and testing reviews, prepare testing reports, track corrective action plans, develop monitoring inventories and standards, identify compliance gaps, support remediation, and assess technology solutions. The role requires independent execution, stakeholder management, investigative analysis, risk control expertise, regulatory knowledge, and experience with annual monitoring and testing plans.

Provides part-time financial and compliance support for Ukraine grant programs. Responsibilities include payroll documentation, salary calculations, timesheet reconciliation, voucher and expense verification, financial reporting, cost forecasting, procurement compliance, co-implementor coordination, inventory tracking, and audit preparation. The role requires accurate financial administration under EU and German donor standards, advanced Excel skills, familiarity with Microsoft Dynamics 365, strong organizational ability, and fluency in English.

Lead business compliance for Personal Financial Services by implementing compliance frameworks, policies, controls, and monitoring programs. Oversee self-assessments, independent reviews, sales surveillance, regulatory reviews, legislation implementation, gap remediation, governance committees, and regulatory information requests. Advise business units on sales and product governance, coordinate with Group Compliance, Risk, Legal, Audit, and Islamic banking stakeholders, promote compliance culture, and lead compliance projects.

Assesses DTCC’s compliance controls and regulatory adherence across business lines and subsidiaries. Develops and executes testing plans, evaluates compliance risks, documents findings, tracks issue remediation, prepares reports, and collaborates with business and control functions. The role requires audit or examination experience, knowledge of compliance principles and controls, and the ability to interpret financial services regulations.

Leads the compliance program for an SEC-registered investment adviser overseeing venture capital and private equity strategies. Responsibilities include regulatory compliance, governance, risk management, conflicts, trading, financial crimes, privacy, regulator and auditor liaison activities, and advising senior leadership and the board. The role collaborates across Legal, Finance, Operations, Risk, Audit, and Technology teams while managing a small compliance team.

Prepares and submits federal and state mortgage regulatory reports, including Mortgage Call Reports and HMDA LARs. Tracks reporting deadlines and recertifications, maintains SharePoint calendars and procedures, validates data, coordinates responses across business areas, and supports audits and examinations. The role also assists with OFAC screening, investigates reporting issues, and ensures compliance with mortgage licensing and regulatory requirements.

Supports finance operations through basic accounting, financial statement and government report preparation, data reconciliation, and fiscal desk reviews of grant subrecipients. Applies GAAP and federal grant compliance requirements, including 2 CFR 200, while gathering data across systems and reviewing financial controls and documentation. Communicates findings to customers, partners, and management with accuracy and attention to detail.

Leads the bank’s compliance and risk management program, including BSA/AML, OFAC, regulatory monitoring, policy development, compliance testing, training, investigations, disclosures, consumer complaints, audits, examinations, and board reporting. Supervises compliance, BSA, and risk personnel while ensuring adherence to federal and state banking regulations and managing high-risk money services business accounts.

Executes and reviews U.S., Canada, and PEO payroll across multiple jurisdictions and pay groups. Performs reconciliations, variance analysis, tax and deduction balancing, compliance controls, audits, reporting, and complex issue resolution. Supports Dayforce and UKG systems, maintains payroll documentation, mentors team members, partners with internal stakeholders and vendors, and drives process improvements. The role handles confidential payroll information and supports quarterly and year-end activities.

Monitor US payroll tax compliance in UKG Ready and other payroll systems, verify tax rates, investigate liabilities and agency notices, resolve discrepancies with payroll providers and tax authorities, oversee filings and deposits, support year-end W-2 reconciliations, and report open issues, risks, corrective actions, and resolution status to HR and Finance.

Manages technical accounting, construction revenue recognition, monthly WIP schedules, close support, fixed assets, leases, multi-state tax compliance, fuel tax filings, and tax depreciation. Oversees lien waivers, subcontractor compliance, licensing, internal controls, audit support, lender and surety reporting, budgeting, forecasting, and job-level variance analysis. Partners with the CFO, Controller, project managers, payroll, asset management, AP, and external advisors to improve financial processes and manage compliance risk.

Supports the Bank’s corporate compliance program through compliance reviews, audits, assessments, transactional testing, remediation tracking, risk evaluations, and reporting to senior management. Identifies procedural deficiencies, recommends solutions, validates corrective actions, provides employee guidance and training, and collaborates with legal, audit, risk management, regulators, and business stakeholders. The role focuses on consumer compliance, wealth management, trust, investment, BSA/AML, OFAC, and related regulations.

Reviews financial professionals’ advertising, sales literature, social media, and communications for FINRA, SEC, state, and internal compliance requirements. Develops controls, procedures, training materials, and approved content libraries; files communications with FINRA; conducts regulatory research; and advises internal and external stakeholders. The role requires strong knowledge of SEC Marketing Rule requirements, financial services advertising regulations, securities and insurance products, and dual broker-dealer/RIA environments.

Directs regulatory compliance for an independent broker-dealer and RIA platform. Leads FINRA, SEC, and state examinations, inquiries, complaints, investigations, regulatory filings, remediation, and books-and-records management. Oversees compliance personnel, evaluates risks and control gaps, monitors regulatory developments, and provides executive and board reporting. Partners cross-functionally to implement corrective actions, strengthen policies and surveillance, and support representatives. Requires extensive financial-services compliance experience, people leadership, strong regulatory expertise, and FINRA Series 7, 24, and 63 or 66 licenses.

Supports PIMCO’s U.S. investment adviser compliance program across funds, separate accounts, and alternatives. Responsibilities include policy and procedure development, risk assessments, compliance testing and monitoring, conflict-of-interest management, governance communications, training support, and process automation. The role partners globally to harmonize regulatory practices, improve controls, reduce operational risk, and ensure alignment with Investment Advisers Act requirements.

Serves as Chief Compliance Officer for a multiple series trust containing mutual funds and ETFs. Maintains compliance policies, oversees service-provider compliance programs, conducts reviews and site visits, supports trust boards, manages AML responsibilities and regulatory examinations, prepares annual compliance reports, and supervises support staff. Partners with other compliance officers on regulatory changes, client updates, webinars, and departmental projects.

Manages global HR Systems compliance, audit, governance, and operational risk programs. Responsibilities include control documentation and testing, audit planning and execution, findings remediation, compliance reporting, user access governance, data retention, privacy, and system integrity reviews. Partners with Legal, Cybersecurity, Information Security, Payroll, and Data Privacy teams while supporting ISO, SOC 1, payroll, and divisional audits. Oversees Kainos SmartAudit automation and continuous process improvements across Workday, UKG, and other HR platforms.

The Chief Compliance Officer will lead the company’s enterprise compliance strategy and Compliance Management System across four states. Responsibilities include managing regulatory examinations, audits, investigations, enforcement matters, and relationships with regulators and outside counsel. The officer will advise executive leadership and the Board on consumer finance, lending, collections, privacy, employment, and enterprise risk issues while ensuring compliance with applicable federal and state regulations.

Manages compliance, audit, risk, and governance programs across global HR systems. Oversees control documentation, testing, audit planning, reporting, remediation, CAPA investigations, and compliance metrics. Partners with Legal, Cybersecurity, Information Security, Data Privacy, Payroll, and HR teams to protect employee data and support ISO, SOC 1, payroll, and other audits. Leads audit automation using Kainos SmartAudit and oversees access governance, record retention, data lifecycle management, and system integrity reviews across Workday, UKG, and other HR platforms.

Administer retirement plans in accordance with IRS regulations by performing compliance testing, contribution reconciliation, employer contribution calculations, annual IRS filings, plan document preparation, and reviewing participant distributions and loans. The role supports Compliance Consultants, handles client-plan administrative functions, provides backup phone support, and requires accuracy, organization, customer service, and financial services knowledge.

Administer retirement plans by supporting compliance consultants, performing IRS compliance testing, reconciling contributions, calculating employer contributions, filing annual IRS forms, preparing plan documents and amendments, and reviewing participant distribution and loan requests. The role also provides administrative client support, backup phone coverage, and opportunities for advancement into client-facing responsibilities.

Leads IT SOX compliance activities for financial systems, including IT general controls testing, risk assessments, documentation, walkthroughs, audit preparation, and control-gap remediation. Partners with Finance, IT, and Audit leadership, supports strategic initiatives, influences stakeholders, and mentors junior analysts while ensuring regulatory and company-policy compliance.

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.