Compliance Jobs - page 4
278 open jobs
Leads U.S. investment compliance, oversees an adviser program, and guides an introducing broker-dealer application and launch, including regulatory exams, controls, and digital advice oversight.
Leads enterprise risk, regulatory compliance, financial crime, and resilience programs, advising executives and the Board while integrating risk oversight into strategy and organizational change.
Leads AML and sanctions controls across securities and derivatives, overseeing monitoring, investigations, regulatory examinations, and enterprise-wide financial crime risk management.
Builds and scales compliance across securities servicing and financial operations, leading regulatory engagement, financial crime controls, tax reporting, remediation, and readiness for new licenses.
Leads enterprise compliance across regulated financial activities, overseeing controls, regulatory examinations, product risk, and team development while translating changing rules into practical business guidance.
Leads investment-adviser compliance and legal work, building regulatory programs while advising on fund governance, investment activities, filings, and investor materials.
Leads broker-dealer compliance strategy and controls, overseeing regulatory examinations, surveillance, AML, filings, training, and remediation across trading and business operations.
Leads the risk and compliance framework, serving as MLRO and overseeing AML controls, regulatory advice, audits, reporting, training, and compliance culture.
Leads global antitrust advice, compliance programs, and policy, combining senior business counseling with regulatory response, risk controls, training, and technology-enabled process improvements.
Leads food safety, quality, sanitation, and regulatory programs across manufacturing and distribution, with responsibility for multi-site standards, supplier oversight, and crisis readiness.
Coordinates security governance, audits, certifications, awareness training, and remediation tracking to strengthen compliance across enterprise and cloud environments.
Oversees privacy management system implementation and improvement, coordinating risk assessments, policy development, audits, and privacy awareness initiatives.
Leads a multi-jurisdictional compliance function, establishing consistent risk-based policies, governance, regulatory engagement, and coordination across legal, risk, audit, and business teams.
Leads compliance strategy for insurance operations, overseeing regulatory filings, risk remediation, policies, training, and guidance on distribution, communications, and carrier matters.
Leads regulatory relationships and compliance across referral and distribution channels, with a focus on insurance regulation, AML/CTF, cross-border risks, and governance.
Leads compliance teams and standards across HUD-assisted and LIHTC properties, overseeing certifications, audits, regulatory reporting, and compliance planning for newly acquired or transitioning sites.
Leads institution-wide compliance strategy, risk oversight, investigations, and training, while advising senior leaders and coordinating initiatives across academic and administrative teams.
Leads enterprise compliance programs, regulatory engagement, risk assessments, and remediation while advising executives and the board and managing a compliance team.
Leads police governance, compliance, accreditation, and administrative operations, with responsibility for audits, policy, budgets, personnel systems, and organizational risk.
Leads board governance, legal and regulatory compliance, risk management, and internal audit across a complex international organization, with a focus on resilience and accountability.
Conducts independent second-line testing of compliance and financial crime controls, identifying root causes and guiding remediation within a European regulatory framework.
Leads group-wide regulatory risk, compliance frameworks, and financial crime controls across multiple businesses and jurisdictions, advising executives and boards while supporting responsible growth.
Advises private-side teams on compliance, implements regulatory changes, develops policies and procedures, delivers conduct training, and supports enquiries and investigations.
Provides compliance guidance on regulatory inquiries, FATCA and CRS matters, tax projects, and transaction reporting issues.
Leads BSA/AML, sanctions, and financial crimes compliance across traditional and digital assets, serving as BSA Officer and building the team, controls, and regulatory reporting program.
Leads broker-dealer compliance and regulatory strategy, overseeing supervision, regulator engagement, examinations, enforcement matters, and the growth of compliance teams.
Leads broker-dealer compliance, regulatory engagement, and supervisory strategy, with a focus on institutional brokerage and scaling compliance across markets and asset classes.
Leads broker-dealer regulatory oversight, examinations, surveillance, AML controls, and compliance team development, while advising the Board and supporting digital-asset initiatives.
Leads a German banking compliance function across financial crime, market conduct, and ethics, combining regulatory oversight, second-line monitoring, and guidance on new products and activities.
Establishes and scales U.S. compliance, overseeing registration, supervision, AML, security, continuity, staff training, and regulatory examinations and communications.
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