Top Compliance Jobs

Support compliance monitoring and testing activities for consumer and commercial business lines. Conduct document reviews, identify compliance and operational issues, perform data analysis, maintain compliance risk assessments and reporting, and assist in preparing reports for senior management and the Board. Monitor regulatory changes and document business line controls and responses.

Support and monitor the banks compliance program by conducting periodic audits, answering staff compliance questions, and collaborating on BSA reviews. Focuses on deposit- or loan-related regulations, implements and maintains compliance functions, provides backup coverage for team duties, and helps prevent regulatory, financial, and reputational risk.

Develops and maintains the banks compliance program, conducts compliance reviews and training, manages CRA and consumer complaint programs, reviews policies, marketing, and products for regulatory compliance, assists with regulatory examinations, and coordinates with consultants and bank departments to ensure adherence to federal, state, and local banking regulations.

The Compliance Officer ensures adherence to regulatory standards through inspections, training, policy updates, and investigations, requiring strong analytical skills and clear communication.

The Compliance Auditor will conduct compliance audits, prepare summaries, and provide recommendations for audit reports.

The Payroll Compliance and Operations Analyst ensures compliant payroll operations, analyzes controls, collaborates on audits, and drives process improvements across global teams.

Provide compliance coverage for equity and debt capital markets: advise on private placements, underwriting and liability management; develop policies and procedures; advise on cross-border and Reg BI issues; monitor MNPI, conflicts and wall-crossing; deliver training; support regulatory developments, exams and audits; partner with senior business leaders to embed compliance into transactions and risk decisions.

Lead and run the Compliance Monitoring & Assurance function globally: design and execute annual monitoring plans, perform independent testing across front-office and corporate functions, identify control gaps, drive remediation, update policies, prepare for regulatory exams, and present results to senior governance.

Support the BSA Compliance Team by monitoring AML/BSA systems, researching alerts, filing CTRs, assisting SAR evaluations and eFilings, managing OFAC screenings, supporting training and audits, processing subpoenas, and maintaining compliance documentation under supervision.

Lead development and maintenance of financial aid policies, ensure compliance with Federal Title IV, state, and institutional regulations, manage withdrawals and R2T4 processing, coordinate auditor/data requests and reporting (IPEDS, FISAP, GE/FVT), deliver staff training, implement quality control processes, and support the Director and Associate Director in compliance and reporting tasks.

Perform day-to-day compliance functions for a deposits portfolio, including testing, monitoring, risk assessments, vendor compliance, policy maintenance, and regulatory research. Prepare documentation and reports, communicate findings to management and the Board, support regulatory change management and exams, and assist in remediation and root-cause analysis.

Lead compliance for BNY Pershing Wealth Services by providing regulatory guidance on product development, conducting risk assessments and monitoring, designing and maintaining compliance programs, analyzing legislation and regulatory guidance (SEC/FINRA), and supporting the Chief Compliance Officer in managing broker-dealer compliance activities.

The AML Compliance Testing & Monitoring Officer creates annual test plans, executes tests, analyzes results, and communicates findings with stakeholders while ensuring compliance with AML regulations.

Support the Chief Compliance Officer overseeing SEC-registered adviser and related FINRA broker-dealer. Review marketing materials for regulatory compliance, manage Code of Ethics and certification processes, track OBA/securities accounts/trading restrictions, assist with regulatory filings and broker-dealer licensing, deliver compliance training, maintain books and records, and help respond to regulatory inquiries and exams.

Join Arootah's advisor network to provide fractional Chief Compliance Officer–level, project-based compliance leadership for hedge funds, private equity firms, and family offices. Advise on SEC/regulatory matters, design and improve compliance programs, conduct reviews and risk assessments, support exams and due diligence, and partner with leadership to strengthen governance and controls.

Lead uplift of risk and compliance frameworks and policies, identify and mitigate operational and regulatory risks, monitor controls, produce evidence packs, engage stakeholders across Line 1/2/3, and support BAU R&C activities for a regulated financial services environment.

The Head of North American Compliance oversees KBRA's regulatory compliance, manages a compliance team, and enhances internal controls and processes. Responsibilities include regulatory reporting, managing inquiries, and collaborating with stakeholders to improve compliance programs.

As an Accountant/Financial Manager, you will manage federal financial reporting and compliance, support audit remediation, and improve internal controls.

The Compliance and BSA Officer ensures compliance with the Bank Security Act and oversees the BSA/AML/OFAC program, providing guidance, monitoring risks, and maintaining reporting systems. The role involves training staff, handling audits, and updating policies.

The Senior Compliance Officer oversees compliance with financial aid regulations, manages appeal processes, provides customer service, analyzes data, and supports staff training.

Support Global Financial Crimes Division technology governance by developing standards, procedures, and controls for sanctions, KYC, AML, surveillance and core compliance systems. Provide advisory oversight, vendor coordination, control improvements, audit/exam responses, and training while collaborating with global teams and leading governance projects.

Manage mortgage QA program, coordinate loan file collection for audits, perform internal QA reviews, document and report compliance defects, recommend process improvements, and support Compliance Control Manager on special projects.

Assist in global tax compliance for private equity investments, ensuring regulatory and reporting requirements are met. Support tax-related reviews, coordinate with stakeholders, and obtain required securities licenses if client-facing. Duties may expand as needed within Blackstone's private equity tax function.

Lead and perform compliance reviews and internal audit engagements for financial institutions. Identify process risks, design and execute control testing, document findings, draft reports, manage multiple projects, oversee and train team members, build client relationships, and support business development and statements of work. Occasional client travel required.

Provide compliance advisory support for the bank's Compliance Management Program: maintain regulatory knowledge, support monitoring and oversight, advise personnel and fintech partners, assess product/process changes, investigate issues, prepare guidance and documentation, and help improve controls and procedures.