Top Compliance Jobs

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.

Owns complex U.S. federal corporate tax compliance, including consolidated Form 1120 workpapers, book-to-tax adjustments, quarterly estimates, RTP analyses, ASC 740 tax provisions, and audit documentation. Leads assigned compliance projects, validates data, mentors junior contributors, researches federal tax developments, and partners with Tax Technology and Finance teams to automate workflows, improve data integrity, and strengthen controls.

Leads IT financial compliance and SOX activities, including infrastructure and application control design, IT general controls testing, change management, access governance, data pipeline controls, audit readiness, and remediation. Partners with engineering, security, finance, data, and external auditors to assess systems, document controls, address gaps, and automate evidence collection across cloud infrastructure and financial reporting environments.

Leads complex wealth-management complaint investigations, breach assessments, dispute resolutions, regulatory submissions, and executive communications. Partners with banking, product, operations, legal, and customer advocacy stakeholders to determine policy or regulatory breaches, recommend settlements and remediation, identify systemic risks, and improve processes. Serves as the regulatory liaison for FIMM and FMOS submissions while ensuring accurate, timely case closure and compliance with Malaysian requirements.

Leads Vanguard’s Global Financial Crimes Compliance governance, strategy, and transformation agenda. Translates financial-crimes strategy into enterprise roadmaps, operating-model improvements, AI and data initiatives, portfolio execution, regulatory readiness, issue management, metrics, and executive and Board reporting. Partners across compliance, risk, technology, data, legal, finance, and regional teams to strengthen controls, oversight, remediation, and sustainable transformation outcomes.

Serve as a second-line Compliance partner for the New-to-Credit card business, advising on product development, controls, monitoring, remediation, and regulatory requirements. Perform control assessments, validations (including UDAAP), review audit and exam issues, support third-party compliance testing, analyze compliance data, and participate in governance and reporting to ensure scalable, compliant business growth.

Leads the development and operation of SOX compliance and internal audit functions for a multi-entity manufacturing company preparing to become public. Establishes risk-based controls, internal audit methodology, policy governance, testing, remediation, and Audit Committee reporting. Partners with executives, IT, Legal, business leaders, and external auditors; oversees ERM alignment and recruits the audit team. Requires CPA certification, extensive public-company audit experience, knowledge of SOX, COSO, SEC, PCAOB, and U.S. GAAP, with travel to operating locations as needed.

Reviews trade surveillance reports, identifies and escalates compliance exceptions, monitors employee access and communications, supports regulatory inquiries and audits, analyzes compliance data, develops Excel reporting, and contributes to automation and AI-driven compliance initiatives. The role also provides administrative and project support to the compliance department.

Investigates AML alerts, suspicious activity, financial transactions, and customer information to identify potential violations. Prepares, documents, and files SARs; reviews FRAML, OFAC, and FinCEN alerts; handles 314(b) and law-enforcement information requests; researches internal and public records; recommends account retention or closure; communicates findings to departments and law enforcement; and maintains compliance with BSA, AML, OFAC, and related regulations.

Supervises AML investigators and oversees suspicious activity investigations, SAR preparation, regulatory compliance, quality reviews, training, risk monitoring, and process improvement. Partners with first- and second-line teams, regulators, auditors, and senior management to mitigate financial crime risks and maintain effective BSA/AML controls.

Conduct independent compliance testing of policies, procedures, controls, and regulatory requirements. Plan reviews, perform fieldwork, document findings, obtain management corrective action plans, validate remediation, and report risks and metrics. The role also improves testing processes, supports issue resolution, guides junior team members, and maintains knowledge of changing financial services regulations.

The Compliance Manager oversees bank compliance testing, monitoring, regulatory reviews, risk assessments, issue remediation, policy analysis, reporting, and regulatory consulting. The role serves as a subject matter expert for assigned compliance programs, supports enterprise compliance governance, manages regulatory relationships, and may supervise compliance staff. Responsibilities include interpreting banking regulations, developing risk-based testing strategies, tracking corrective actions, reporting findings to leadership, and improving compliance controls and processes.

Provides second-line compliance and risk management support for a credit card business. Advises leaders on regulatory requirements, product development, controls, policies, monitoring, remediation, UDAAP, compliance testing, third-party compliance, and governance reporting. Reviews control assessments, evaluates audit and regulatory issues, identifies risks, and recommends corrective actions. Requires strong knowledge of compliance frameworks, applicable laws, and card operations, with occasional travel to company locations.

Leads independent, risk-based regulatory compliance testing across U.S. consumer protection, payments, safeguarding, state money transmission, disclosures, complaints, and remediation. Defines testing populations, evidence plans, procedures, and failure criteria; evaluates control design and operating effectiveness; analyzes data; writes findings and reports; validates remediation; challenges stakeholders; and supports examinations, audits, partner due diligence, and governance reporting.

Reviews loan files for compliance with CRA, HMDA, BSA, Patriot Act, OFAC, and related regulations. Analyzes lending data, supports reporting, audits, and examinations, identifies control deficiencies, recommends corrective actions, advises business units, maintains compliance policies, and assists with staff training.

Reviews customer complaints to determine regulatory filing requirements under FINRA rules, performs quality assurance, prepares regulatory reports, analyzes complaint trends, builds controls and metrics, and improves compliance procedures. The role also trains contractors, drafts standard operating procedures, maps workflows, escalates high-risk cases, and supports senior management reporting and cross-functional compliance initiatives.

Serves as a compliance contact for regulatory and policy questions, conducts internal audits and branch cash reviews, monitors abnormal activity, evaluates membership and account openings, processes CTRs and FinCEN 314(a) requests, recommends SAR reporting, performs OFAC scans, and supports BSA/AML compliance and internal controls.

Build and govern AI-driven financial crime compliance systems across transaction monitoring, sanctions, complex fraud, and enhanced due diligence. Partner with Engineering to design labeling workflows, test sets, evaluation frameworks, documentation, and governance processes. Translate compliance judgment into test cases and build specifications, assess model performance, recommend automation adoption, and escalate model-risk trade-offs. The role requires senior investigative expertise and strong project management, analytics, and AI fluency.

Reviews and approves advertising, marketing, and communications materials for compliance with insurance, securities, FINRA, SEC, state, and federal requirements. Evaluates regulatory and reputational risks, advises business stakeholders, coordinates regulatory filings, maintains documentation, supports audits and examinations, analyzes compliance trends, and improves review processes, controls, and workflows. Provides subject matter guidance, training, and escalation support with minimal supervision.

Lead compliance advisory and oversight for Wealth Services, focusing on US broker-dealer and RIA activities. Provide senior guidance on Managed Account Solutions, corporate actions, trading, reporting, and account reconciliation. Analyze regulations, conduct risk assessments, support controls and monitoring, and collaborate with business leaders to implement compliance frameworks and mitigate vulnerabilities.

Supports compliance monitoring and testing annual planning, scheduling, reporting, and governance. Performs regulatory research, control testing, data analysis, findings validation, and risk-based assessments. Maintains dashboards and management reports, monitors execution metrics, coordinates plan changes, identifies compliance issues, and communicates results to stakeholders and senior management. Contributes to reporting automation, process improvements, issue management, and continuous development of the compliance program.

The Compliance Testing Manager oversees independent compliance testing, quality assurance, validations, and testing engagements. Responsibilities include planning and leading reviews, executing testing, analyzing regulatory requirements, documenting findings, managing escalations, advising stakeholders, and ensuring compliance with risk management standards. The role also provides subject matter expertise, leads cross-functional initiatives, mentors team members, and supports continuous improvement of the bank’s compliance monitoring and testing program.