Top Compliance Jobs

Manages global tax compliance and reporting for investment funds, including investor Schedules K-1, federal, foreign, state and local filings, FATCA, CRS, ASC 740 disclosures, tax payments, and tax authority examinations. Oversees external providers, coordinates with accounting and operations teams, monitors regulatory changes, develops tax policies, supports investors, and leads tax-reporting training and process improvements.

Manages consumer payments and deposits risk and compliance frameworks, including control assessments, testing, monitoring, regulatory change implementation, issue remediation, risk reporting, and enterprise risk management support. Advises business lines on consumer banking regulations, operational risk, control design, business resiliency, and process improvements. Leads collaboration between business teams and second-line risk functions and manages a team of associates.

Own international tax and regulatory compliance across US, Cayman Islands, Costa Rica, UK, and Australian entities. Manage PFIC reporting, intercompany loans, transfer pricing documentation, crypto treasury reconciliations, statutory filings, audits, payroll, and accounts payable oversight. Coordinate external tax advisors, accounting firms, and outsourced finance providers while building scalable controls and proactively mitigating multi-jurisdiction compliance risks.

Evaluates multifamily housing developments and loan programs for compliance with LIHTC, FHA, and affordable housing requirements. Conducts property reviews and inspections, analyzes occupancy data and certifications, monitors loans and troubled properties, prepares compliance reports, responds to owner and tenant inquiries, delivers customer training, collects program fees, reports noncompliance, and helps update policies and procedures.

Leads investment and trading compliance for ETFs by translating prospectus and SAI investment restrictions into Bloomberg AIM rules, monitoring pre- and post-trade exceptions, identifying violations, and collaborating with trading, investment management, and compliance teams. The role also supports compliance with the Investment Company Act, Internal Revenue Code, SEC regulations, and enhancements to trade monitoring systems and processes.

Supports the Head of Core Compliance by administering the Code of Ethics, reviewing personal trading, conflicts of interest, gifts and entertainment, and outside business activities. The role also supports AML and KYC reviews, regulatory oversight, governance reporting, books and records requirements, policy maintenance, compliance training, forensic testing, and technology initiatives. The senior associate handles complex compliance matters, identifies process improvements, and participates in system enhancements.

Supports the Risk Management team through project and operational auditing, compliance monitoring, and regulatory research. Reviews contractor payroll and records for contractual and state employment law compliance, maintains project compliance dashboards, coordinates with Operations, and assists with licensing, registration, contracts, and document processing.

Leads portfolio compliance operations, including interpreting and negotiating investment guidelines, monitoring trade restrictions, resolving compliance alerts, overseeing client guideline setup and portfolio rebalances, and supporting regulatory and investment initiatives. The role manages a team and drives workflow automation, technology enhancements, and cross-functional collaboration with portfolio management, legal, investment services, regulatory compliance, and clients.

Lead DFARS compliance for the Six Government Business Systems (accounting, estimating, purchasing, EVMS, MMAS, property). Develop internal controls, support DCAA/DCMA audits, manage corrective actions, perform risk assessments, maintain policies, deliver training, and implement continuous monitoring and compliance dashboards across functions.

Lead and manage internal and external financial, compliance, and programmatic audits. Evaluate internal controls, perform risk assessments and transactional testing, review IT general controls and third-party reports, document key processes, analyze financial data, draft findings and management action plans, and coordinate with external auditors. Drive improvements to controls and support special projects as assigned.

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.

The Manager, Compliance oversees compliance activities, manages a team, ensures regulatory adherence, coordinates regulatory exams, and supports business units.

Lead and oversee regulatory compliance, BSA/AML, and fair lending audit engagements for financial institution clients. Manage risk assessments, testing, documentation, and high-level review of deliverables. Serve as primary client contact, coach and lead engagement teams, support staffing and resource planning, drive process improvements, and contribute to business development and integrated client solutions.

Lead processing, filing, and payment of state (TX/NM) and federal royalties and severance taxes; prepare reconciliations and monthly analyses; manage audits and work with consultants; ensure SOX compliance; collaborate with land and regulatory teams to secure deductions and exemptions; support special projects and reporting.

Lead and coordinate risk, compliance, and control routines for Wealth Management Solutions. Maintain regulatory reporting, governance materials, policy oversight, audit and regulatory responses, risk assessments, and remediation plans while partnering with Compliance, Legal, Internal Audit, and business leaders to identify, monitor, and mitigate operational and regulatory risk.

Perform surveillance and monitoring of firm systems, review and address flagged issues, conduct email surveillance, prepare regulatory filings, assist with exams and investigations, deliver compliance training, update policies, review employee requests, and partner with Technology to improve internal review systems.

Provide first-line compliance advisory for Personal Financial Services Credit; liaise with regulators and internal stakeholders; manage audits, assessments and regulatory implementation; drive reviews of regulatory guidelines, self-assessments and internal controls; perform mystery shopping and surveillance; develop dashboards, trainings and compliance programs; and support business unit compliance leads to strengthen governance and operational risk controls.

Lead compliance programs for the credit union's Financial Advisory Services, serving as Chief Compliance Officer for RIA, Broker-Dealer, and Life Insurance entities. Advise business lines, develop policies, oversee AML/BSA programs, coordinate regulatory exams and audits, build compliance data analytics and reporting, and report to boards and executive committees.

Coordinate and manage regulatory examinations and audits by organizing documentation, tracking findings and corrective actions, coordinating logistics and examiner requests, preparing reports and dashboards, and supporting cross-functional stakeholders to ensure compliance with applicable regulatory requirements.

Lead risk and compliance coordination for Wealth Management Solutions, managing regulatory reporting, controls, governance, audits, policy oversight, risk assessments, remediation, and stakeholder collaboration to mitigate operational, financial, regulatory, and compliance risk.

Lead second-line compliance oversight for U.S. Corporate Office programs. Provide regulatory advice, assess program design and controls, drive compliance risk management activities, manage escalations, partner with Legal/Finance/Audit/Technology, prepare executive reporting, and mentor team members to ensure regulatory requirements are identified, assessed, and remediated.

Lead and own Poshmark's BSA/AML program, governance, and risk framework. Manage KYC/KYB, sanctions screening, SAR filings, vendor relationships, regulatory exams, training, product compliance sign-off, and program health reporting.

Lead and scale the Sarbanes-Oxley (SOX 404) program, maintain the ICFR framework, manage control design/testing/remediation, oversee ITGC scoping, integrate controls for acquisitions, liaise with external auditors and the Audit Committee, and build and mentor a SOX compliance team.

Entry-level role supporting financial investigations and litigation matters. Assist in preparing proposals and workplans, review and analyze financial records, document findings, prepare client deliverables, and perform quality control. Learn investigative tools, identify patterns and anomalies, and support case completion within deadlines and budgets.

Assist financial investigations and litigation support by preparing proposals and workplans, performing financial analysis, reviewing and documenting evidence, mastering investigative tools, organizing QC-ready files, and preparing client deliverables under case managers' guidance.