Compliance Jobs
278 open jobs
Oversees financial licensing, regulatory engagement, AML/CFT, filings, contracts, and risk controls while advising leadership on governance and business development.
Leads advisory compliance risk oversight, regulatory engagement, control monitoring, and team development, with a focus on Japan’s asset management sector and bilingual executive guidance.
Supports the compliance lead, develops the team, and advances customer outcomes, regulatory oversight, management information, and the use of AI in compliance.
Leads North American customs, trade, export-control, and regulatory compliance, combining regional strategy and governance with audits, risk management, duty optimization, and process improvement.
Oversees registered-fund compliance through filing and communications reviews, monitoring, risk assessments, board reporting, service-provider oversight, and regulatory guidance.
Prepares U.S. and international regulatory filings, monitors rule changes, and improves reporting processes, with a focus on alternative investments, private placements, and private funds.
Develops ERISA and collective investment trust compliance controls, advises on fiduciary and QPAM requirements, and oversees risk-based monitoring, testing, certifications, and issue resolution.
Develops ERISA and collective investment trust compliance controls, advises on fiduciary and prohibited-transaction requirements, and oversees QPAM monitoring, testing, and certifications.
Leads insurance compliance strategy, audits, training, and investigations, advising senior leaders and the board while monitoring regulatory changes and mitigating risk.
Leads enterprise compliance across insurance and employee benefits, advising senior leaders while overseeing risk assessments, audits, investigations, training, and corrective actions.
Coordinates regional compliance and financial-crime risk assessments, using analytics and quality reviews to strengthen governance, standardize processes, and guide stakeholders across jurisdictions.
Leads global workplace investigations, employment compliance, human-rights governance, and people-risk reporting, combining executive counsel with preventive programs and oversight of a dispersed team.
Leads compliance operations for publicly financed construction projects, overseeing contractor participation, expenditures, regulatory reporting, enforcement, and process improvements across a multidisciplinary team.
Leads U.S. and Canadian regulatory compliance and financial crime programs, overseeing AML and sanctions controls, regulatory examinations, remediation, and executive and board advice.
Leads risk-based compliance oversight for care delivery, advising executives and governing investigations, audits, regulatory responses, remediation, and team development.
Leads country operations and compliance, balancing business performance, public-sector relationships, governance, risk oversight, and local execution of regional strategy.
Leads compliance strategy, regulatory examinations, board reporting, and team development for an investment adviser and registered fund complex.
Oversees post-trade fund compliance monitoring, controls, rule implementation, and regulatory reviews while leading staff and improving service processes.
Oversees branch compliance and financial crime controls, combining customer screening and transaction monitoring with risk assessments, regulatory reporting, remediation, and staff guidance.
Leads independent risk oversight, regulatory compliance, resilience, and client assurance, while advising executives and boards and strengthening risk governance.
Leads regulatory compliance, AML/CFT risk management, and data protection, advising the Board and engaging with regulators across retail credit and banking.
Advises sales and trading teams on compliance risks, reviews products and cross-border activity, and develops monitoring, controls, and training as regulations evolve.
Leads enterprise-wide compliance frameworks, controls, risk monitoring, breach investigations, and governance reporting during a project development phase.
Builds and leads a scalable finance function, strengthening controls and compliance while providing commercial insight and improving operations through better systems and processes.
Strengthens investment adviser compliance through regulatory guidance, risk oversight, data-driven initiatives, and cross-functional governance of valuation, reporting, fees, and expenses.
Leads broker-dealer and investment adviser compliance, overseeing regulatory filings, examinations, surveillance, policies, communications reviews, and guidance for registered professionals.
Leads enterprise healthcare compliance and privacy programs, overseeing risk assessments, investigations, audits, incident response, and regulatory guidance across a complex, multi-site organization.
Investigates complex financial crimes and sanctions cases while strengthening BSA/AML controls, transaction monitoring, quality reviews, and regulatory reporting.
Leads global ethics, privacy, and compliance programs, strengthening risk assessments, training, and automated safeguards while guiding responsible data and AI use across business functions.
Leads enterprise ethics, privacy, and compliance programs, integrating automated controls, risk assessments, and responsible data and AI practices across global, cross-functional teams.