Top Compliance Jobs

Lead compliance advisory for deposit and lending products by assessing regulatory risks and controls, developing policies and training, coordinating regulatory change, supporting testing and monitoring, tracking remediation, and communicating compliance analysis to management and oversight committees. Partner cross-functionally to embed compliance into product and operations.

Manage risk and compliance projects, develop reporting/metrics, maintain regulatory issue documentation, organize committee meetings, deliver training, perform regulatory research, and collaborate with stakeholders to improve controls and processes.

Support development and implementation of mortgage compliance programs, maintain NMLS/licensing and regulatory filings, perform HMDA and fair lending analytics, assist with regulatory changes, exams, audits, QC audits and remediation, and provide subject-matter support for federal and state mortgage regulations.

Monitor and review treasury activities for compliance, support cash management and forecasting, document procedures and controls, validate financial reports, liaise with banks, assist capital structure and debt management strategy, support reports and presentations, and participate in audits and ad-hoc projects.

Support bank regulatory compliance by conducting reviews, testing procedures, researching regulations, reviewing loan and deposit files for CIP, TRID, Reg B/FCRA, flood insurance, and drafting procedures to ensure adherence to requirements.

The Enterprise Compliance and Operational Risk Analyst at Regions supports risk management functions, conducts risk assessments, develops metrics, and assists with audits and regulatory compliance.

Lead development and maintenance of AML and sanctions policies, procedures, transaction monitoring, CDD/EDD, governance, and reporting for digital assets. Advise front office, oversee vendors, support audits and regulatory exams, and provide senior management and regulator reporting while staying current on evolving rules.

Lead the global tax provision (ASC 740) and U.S. international tax compliance, manage filings and reconciliations, perform technical research, support M&A and audits, and drive tax process and technology improvements across the organization.

The Director of Mortgage Compliance leads the compliance program, ensuring adherence to mortgage lending regulations and fostering a culture of compliance across departments.

The Compliance Analyst tracks US federal regulations, ensures compliance, conducts assessments, communicates updates, and manages compliance-related documentation and customer communications.

The Compliance Analyst investigates potential Anti-Money Laundering activities, produces reports, and collaborates with partners for effective case management.

The Compliance Analyst will track and review regulations, conduct compliance assessments, manage compliance design specifications, and communicate with various stakeholders to ensure compliance with regulatory standards in mortgage and non-mortgage loan servicing.

The Compliance Officer I will review loans to ensure they meet investor and regulatory guidelines by validating processing and reviewing necessary documents and systems.

The Compliance Analyst will investigate potential Anti-Money Laundering activities, produce reports, and coordinate with partners in the Financial Intelligence Unit.

The role involves project management, data validation, preparing presentations, and coordinating reports with technology teams, along with compliance tasks.

The Compliance Analyst is responsible for ensuring product compliance with federal regulations, conducting assessments, and providing guidance to internal teams and clients. The role involves monitoring regulatory changes and conducting audits in the mortgage loan servicing sector, requiring significant travel.

As a Senior Auditor, you will conduct audits, test controls, and communicate findings. Requires 3+ years of experience and an undergraduate degree.

The Financial Planning & Analysis Compliance Manager will lead budgeting, forecasting, and compliance efforts, support audits, and develop financial models and reports.

The Senior Compliance Analyst will support technology compliance, design reports, engage with stakeholders, and enhance internal controls related to financial regulations.

Lead the bank's compliance program by building a risk-based framework, providing regulatory guidance to senior leadership, overseeing policy development, compliance monitoring, training, contract and litigation review, and partnering with business lines to ensure regulatory adherence and practical, customer-focused solutions.

Manage and strengthen the RIA compliance program: design and maintain policies, ensure exam readiness, monitor portfolios and controls, perform risk assessments and testing, prepare governance reporting, handle regulatory reporting and ad-hoc projects, supervise and guide junior compliance staff, and partner with senior leaders and the Investments CCO.

Support compliance governance and monitoring: administer controls certification, issues and remediation tracking, regulatory inventory and policy reviews, prepare periodic reporting, manage contract compliance monitoring, and coordinate with stakeholders to close actions.

Lead the enterprise compliance program, manage a team of compliance professionals, monitor regulatory changes, oversee audits and examiner interactions, manage subpoenas and legal responses, track remediation of audit findings, and maintain examiner-ready compliance documentation.

Manage U.S. insurance tax compliance for KKR's insurance group, overseeing federal, state, local, and non-U.S. tax and premium/excise filings. Coordinate with controllership, finance, structuring teams, and external advisors; monitor tax law changes; support audits and examinations; and drive process improvements, tax technology enhancements, and workflow automation.

Perform enhanced due diligence on high-risk customers and transactions; review screening alerts (WorldCheck, Clear, LexisNexis); prepare SARs and FinCEN 314a searches; maintain client KYC/risk profiles; manage sanctions/OFAC reporting; conduct adverse media and employee screening; optimize screening system configurations; draft AML procedures; support audits, training, and cross-functional AML inquiries and escalations.