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57 results for Compliance Manager jobs

Compliance Manager

Oklahoma City, OK
onsite
Permanent / Full Time
90000 - 105000 USD / Yearly
Our client is seeking an experienced AML & Fraud Compliance Manager to lead and oversee a comprehensive compliance program focused on anti-money laundering, fraud prevention, sanctions compliance, risk management, and regulatory oversight. This individual will play a key leadership role in strengthening compliance controls, mitigating financial crime risk, and ensuring adherence to applicable federal and international regulations. Key Responsibilities: <ul><li>Maintain and enhance a risk-based Anti-Money Laundering (AML) compliance program.</li><li>Oversee Customer Identification Program (CIP), Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD) processes.</li><li>Develop and maintain customer risk-rating methodologies.</li><li>Ensure compliance with applicable AML, BSA, and financial crime regulations.</li><li>Monitor and investigate unusual transaction activity.</li><li>Identify potential structuring, money laundering, fraud, and other financial crime risks.</li><li>Escalate suspicious activity and support regulatory reporting requirements.</li><li>Conduct investigations and maintain detailed documentation.</li><li>Lead fraud prevention, detection, and response initiatives.</li><li>Analyze fraud trends and recommend process improvements.</li><li>Develop internal controls to mitigate operational and financial risks.</li><li>Oversee fraud loss reporting and remediation efforts.</li><li>Manage sanctions screening processes and escalation procedures.</li><li>Monitor regulatory developments and emerging financial crime risks.</li><li>Ensure policies and procedures align with evolving regulatory expectations.</li><li>Partner with legal, risk, and operational teams to address compliance concerns.</li><li>Conduct periodic enterprise-wide compliance and fraud risk assessments.</li><li>Evaluate risks associated with new products, services, and business initiatives.</li><li>Recommend enhancements to compliance frameworks and internal controls.</li><li>Support policy development and governance initiatives.</li><li>Serve as a primary point of contact for internal audits, external auditors, and regulatory examinations.</li><li>Coordinate responses to regulatory inquiries and audit findings.</li><li>Track remediation efforts and ensure timely resolution of identified issues.</li><li>Prepare compliance reports and presentations for senior leadership.</li><li>Provide guidance and mentorship to compliance team members.</li><li>Deliver training programs related to AML, fraud prevention, and regulatory compliance.</li><li>Foster a strong culture of ethics, compliance, and risk awareness.</li></ul>
2026-08-20T00:00:00Z

Compliance Officer

Fort Lauderdale, FL
onsite
Permanent / Full Time
100000 - 150000 USD / Yearly
We are looking for an experienced Compliance Officer to support a community bank in Fort Lauderdale, Florida by leading its consumer regulatory compliance efforts. This management-level individual contributor role offers visibility across lending, deposit services, and other operational areas, with a strong focus on strengthening oversight and reducing regulatory risk. The right candidate will be able to interpret consumer banking requirements, assess how they apply in day-to-day operations, and turn those expectations into practical controls, guidance, and reporting for leadership. Responsibilities: • Oversee adherence to federal and state consumer banking regulations across lending, deposit functions, and related business activities. • Design and maintain a structured monitoring program that helps identify compliance gaps and supports timely corrective action. • Assess existing controls to determine whether compliance risks are being measured and managed effectively. • Perform targeted reviews, risk evaluations, and audit-related testing to examine regulatory exposure in key operational areas. • Examine customer disclosures, internal policies, procedural documents, and operational workflows to confirm regulatory alignment. • Identify weaknesses or potential violations and recommend practical solutions to improve controls and reduce risk. • Advise business partners and management on fair lending expectations, UDAAP considerations, deposit compliance matters, Regulation GG, and other applicable requirements. • Track regulatory changes and communicate their operational impact to leadership, including senior management and the Board. • Deliver compliance reporting, employee guidance, and training that reinforces consistent understanding of regulatory obligations.
2026-08-13T00:00:00Z

Compliance Specialist

Broderick, CA
onsite
Temporary / Contract
25 - 30 USD / Hourly
Role SummaryThe Subcontractor Compliance Coordinator ensures subcontractors fully meet required compliance standards by managing the timely collection, review, and organization of startup documents, certified payroll records, and insurance materials. This position maintains accurate tracking systems, applies consistent document management practices, and uses payroll platforms to keep compliance processes efficient. The coordinator works directly with subcontractors to clear up issues, obtain missing items, and support productive working relationships while refining workflows and upholding high standards of accuracy and professionalism.Key Responsibilities<ul><li>Promptly request and gather startup compliance documents as soon as new subcontract agreements are issued, confirming all required materials are received on time.</li><li>Review certified payroll submissions for accuracy and completeness to verify compliance with prevailing wage rules.</li><li>Confirm insurance documentation satisfies both project-specific requirements and applicable regulatory standards.</li><li>Work with subcontractors to resolve gaps, collect missing details, and secure any needed signatures.</li><li>Stay current on industry practices and regulatory updates that affect compliance obligations.</li><li>Build and maintain clear, well-organized project files that group documents by subcontractor and job.</li><li>Apply consistent naming conventions across all files so documents are easy to locate and retrieve.</li><li>Use online payroll platforms (such as LCP Tracker or eMars) to review, save, and update subcontractor records in the correct project folders.</li><li>Create and maintain a central database that tracks certified payroll, insurance, and overall compliance status for each project.</li><li>Proactively follow up with subcontractors to obtain any outstanding information, signatures, or supporting materials.</li><li>Ensure subcontractors understand and follow all applicable compliance requirements.</li><li>Build and sustain positive working relationships with subcontractors to support clear communication and smooth collaboration.</li></ul>
2026-08-18T00:00:00Z

Compliance Specialist

Lakeville, MA
onsite
Temporary / Contract
35 - 42 USD / Hourly
We are looking for a part time (20 hours/week) Compliance Specialist to support insurance, risk, and contract administration activities across multiple offices in Lakeville, Massachusetts. This part time position will work closely with internal stakeholders and external partners to help maintain compliant operations, strengthen documentation practices, and address areas of potential exposure. The role offers the opportunity to improve processes, support cross-functional coordination, and contribute to efficient compliance management in a growing organization. Responsibilities:• Coordinate day-to-day compliance and insurance activities in partnership with internal departments and third-party administrators.• Maintain certificates of insurance and related records, ensuring documentation is accurate, current, and readily accessible.• Provide support for benefit- and coverage-related compliance matters, including health, cancellation, and loss-related programs.• Collaborate with office teams, benefits contacts, and health and safety or claims partners to address risk and compliance needs.• Review existing procedures to identify gaps, lower operational risk, and recommend more efficient ways of working.• Help organize and consolidate compliance tasks across locations to promote consistency and stronger oversight.• Assist with payroll-related and general administrative compliance requirements, ensuring timely follow-through.• Support contract compliance activities by tracking documentation, monitoring obligations, and following up on outstanding items
2026-08-05T00:00:00Z

Compliance Specialist

North Waltham, MA
remote
Temporary / Contract
59.375 - 68.75 USD / Hourly
We are looking for a Compliance Specialist to support and strengthen organizational compliance efforts in Waltham, Massachusetts. This Long-term Contract position will focus on regulatory oversight, risk mitigation, policy development, and cross-functional partnership to help maintain high standards across business operations. The ideal candidate will bring experience in compliance monitoring, due diligence, reporting, and training, with the ability to translate evolving regulatory expectations into practical processes. Responsibilities: • Lead internal reviews and audit activities related to pharmacovigilance, data protection, and broader compliance obligations to maintain adherence to applicable regulations. • Design, implement, and track corrective and preventive action plans that address identified gaps and improve overall compliance performance. • Oversee vendor compliance and risk evaluation activities, including due diligence, contract review support, and ongoing third-party monitoring. • Administer the vendor risk assessment process from intake through approval, improving efficiency while reducing exposure to operational and regulatory risk. • Monitor changes in laws, regulations, and industry practices, and recommend updates to policies, procedures, and controls as needed. • Develop and maintain compliance frameworks and internal policies aligned with market research activities and organizational requirements. • Create and deliver training sessions that help employees understand compliance expectations, risk awareness, and best practices in day-to-day work. • Prepare clear, accurate compliance documentation and reports for regulatory agencies and senior leadership. • Partner with legal, IT, operations, and other internal teams to promote consistent compliance practices across departments.
2026-07-29T00:00:00Z

Compliance Specialist

Saint Paul, MN
remote
Temporary / Contract
50 - 60 USD / Hourly
We are looking for a Compliance Specialist to support operational compliance reviews across various sites in the United States. This is a Long-term Contract position that combines remote work with recurring travel to conduct site audits, engage local leadership, and document findings with accuracy and professionalism. The role is well suited for someone who can interpret procedures, organize evidence from multiple systems, and communicate observations clearly in both meetings and written reports. Responsibilities:• Perform scheduled on-site compliance reviews at assigned locations, assessing whether daily operations align with established procedures and control standards.• Build productive working relationships with site leadership and frontline personnel to gather information, verify practices, and discuss audit observations.• Review documentation and collect supporting evidence from multiple platforms to prepare complete and well-organized audit records.• Lead audit opening and closing meetings, clearly outlining scope, summarizing observations, and explaining next steps to stakeholders.• Document gaps, exceptions, and areas of risk in written reports, using clear rationale supported by factual observations and evidence.• Provide practical coaching during audit activities when procedural issues are identified, helping teams understand expectations and improve adherence.• Manage report preparation in Microsoft Word and submit finalized materials through reporting tools such as Power BI while maintaining accurate audit tracking.• Spend non-travel periods preparing for upcoming reviews, analyzing findings, coordinating information requests, and completing post-audit documentation.• Adapt to a developing reporting environment, including audit information maintained in Power BI and related platforms used for compliance tracking.
2026-08-14T00:00:00Z

Compliance Specialist

Cambridge, MA
remote
Temporary / Contract
28 - 35 USD / Hourly
We are looking for a Compliance Specialist to support regulatory and licensure activities for a multi-campus educational organization. This position will help maintain compliance across physical and virtual locations by coordinating filings, tracking requirements, and working closely with internal teams to gather accurate documentation. The ideal candidate brings experience engaging with regulatory bodies, managing complex compliance processes, and using business systems and productivity tools to keep records organized and current. Responsibilities:• Coordinate state and federal compliance activities to help maintain licenses, approvals, and applicable exemption designations across multiple campuses.• Prepare, review, and submit regulatory filings by collecting required information from internal departments and confirming documentation is complete and accurate.• Serve as a point of contact for external regulatory agencies, responding to inquiries and supporting follow-up requests in a timely and thorough manner.• Monitor deadlines, reporting obligations, and renewal schedules to reduce compliance risk and prevent gaps in required submissions.• Maintain organized compliance records, including digital files, spreadsheets, forms, and supporting documentation used for audits and reviews.• Partner with stakeholders across the organization to gather operational, academic, and administrative information needed for licensure and regulatory reporting.• Produce clear summaries, reports, and written updates that communicate compliance status, outstanding items, and upcoming obligations.• Support ongoing improvements to compliance tracking and document management processes using tools such as Salesforce, Google Workspace, spreadsheets, and editable PDF files
2026-08-12T00:00:00Z

Compliance Director

Houston, TX
onsite
Permanent / Full Time
100000 - 120000 USD / Yearly
We are looking for a Compliance Director to oversee and manage regulatory compliance within a fast-paced auto lending company in Houston, Texas. This position requires a strategic thinker who can ensure adherence to state and federal laws while identifying and mitigating risks associated with consumer financing. The ideal candidate will play a vital role in developing policies, conducting audits, and maintaining the company's compliance framework. Responsibilities: • Monitor and implement regulations such as the Truth in Lending Act, Equal Credit Opportunity Act, and Fair Credit Reporting Act to maintain legal compliance. • Identify, assess, and mitigate compliance risks related to auto lending practices, including proper handling of product cancellations and refunds. • Develop, update, and enforce internal policies and procedures to align with current regulatory requirements. • Provide training to staff members on compliance protocols to ensure consistent understanding and application across the organization. • Conduct thorough audits to verify adherence to established standards and identify areas for improvement. • Oversee credit reporting controls and ensure accurate reporting to credit bureaus. • Prepare detailed reports on compliance risks and present findings to senior management or the board of directors. • Collaborate with various departments to ensure fair lending practices and consumer protection measures are consistently upheld. • Stay informed on changes to laws and regulations affecting the auto finance industry and implement necessary updates to company processes.
2026-08-04T00:00:00Z

Compliance Lead

Hopkins, MN
onsite
Permanent / Full Time
60000 - 72000 USD / Yearly
We are looking for a detail-oriented Compliance Lead to support compliance-focused operations in Minnetonka, Minnesota. This role partners with internal teams to strengthen regulatory adherence, maintain accurate records, and help ensure benefit-related processes align with applicable standards. The ideal candidate brings experience in audits, payer and vendor documentation, and healthcare privacy requirements while contributing to training, oversight, and continuous process improvement. Responsibilities:• Lead day-to-day administration of the organization’s compliance-related benefits activities and provide guidance to business areas on regulatory expectations.• Design and deliver training sessions that explain new legal requirements, annual compliance updates, and department-specific obligations.• Review suspected fraud, waste, and abuse matters, document findings, and recommend next steps based on established policies.• Support the creation, revision, and interpretation of compliance policies and procedures to promote consistent operational practices.• Manage payer and vendor agreements, licensing records, and related documentation to help maintain current and accurate files.• Coordinate the organization and upkeep of insurance materials, compliance records, and retention practices in accordance with internal standards.• Prepare for and assist with external reviews, including health plan and licensure audits, by gathering evidence and responding to requests.• Monitor compliance performance metrics, analyze audit patterns, and develop action plans or training to address recurring gaps.• Contribute to investigations involving compliance concerns and provide practical recommendations to strengthen controls and reduce risk.• Support compliance needs across multiple business areas, including data integrity, system alignment, and VA-related compliance activities for clients and caregivers.
2026-08-05T00:00:00Z

Compliance Analyst

Milwaukee, WI
onsite
Temporary / Contract
26 - 30 USD / Hourly
We are looking for a Compliance Analyst to support compliance-related operations for a financial services environment in Milwaukee, Wisconsin. This Long-term Contract position is ideal for someone who can coordinate detailed administrative work, manage sensitive documentation, and communicate effectively with employees and internal stakeholders across the organization. The role combines compliance support, records oversight, correspondence management, and policy-related administrative duties in a hybrid setting. Responsibilities:• Coordinate and track registration and licensing records for employees throughout onboarding, active employment, and separation processes.• Administer continuing education activities by monitoring deadlines, maintaining documentation, and helping ensure completion of regulatory obligations.• Evaluate employee disclosure submissions for completeness and alignment with established policies, escalating issues when further review is needed.• Draft, revise, and distribute clear and accurate written communications related to disclosure reviews, compliance follow-up, and documentation requests.• Maintain accurate records that confirm required employee actions have been completed in accordance with internal standards and regulatory expectations.• Provide administrative support for the development and refinement of policies, procedures, and compliance-related communications.• Assist with research and document gathering for compliance projects, regulatory reviews, examinations, and internal inquiries.• Partner with compliance teams, business units, and corporate support groups to resolve questions and keep compliance processes moving efficiently.
2026-08-25T00:00:00Z

IT Risk and Compliance Manager

Decatur, GA
remote
Permanent / Full Time
0 - 0 USD / Yearly
Robert Half is hiring! We are looking for an IT Risk and Compliance Manager to lead enterprise compliance initiatives and help strengthen the organization’s regulatory and audit readiness. This role will guide complex, cross-functional programs that involve technology, security, legal, finance, product, and operations teams, with an early focus on advancing government-oriented compliance efforts. The ideal candidate brings strong program leadership, practical knowledge of recognized security and privacy frameworks, and the ability to turn regulatory expectations into well-managed, measurable action plans. Responsibilities:• Lead company-wide compliance programs by aligning stakeholders across IT, Security, Legal, Product, Finance, and Operations to deliver key initiatives on time.• Establish clear ownership, timelines, and follow-through for compliance-related work across multiple departments and business functions.• Create and manage a centralized schedule for audits, recurring obligations, certification deadlines, and renewal activities.• Launch and drive a GovRAMP readiness program as a priority initiative, while preparing the foundation for future efforts such as FedRAMP and similar frameworks.• Assess control gaps and new regulatory requirements across applicable standards, then convert findings into defined projects with actionable next steps.• Develop end-to-end compliance initiatives, including scope, milestones, resource planning, success measures, and executive-ready business cases.• Promote the use of AI-enabled tools and efficient methods to streamline evidence gathering, reduce manual effort, and accelerate certification preparation.• Maintain ongoing compliance posture by overseeing documentation, policy updates, evidence repositories, and audit preparedness activities.• Track control effectiveness and compliance status across the organization, escalating emerging risks or deficiencies before they result in audit issues.• Manage external auditors, assessors, and specialized consultants while monitoring quality, budget, timelines, and contractual compliance needs in partnership with Legal and Procurement.
2026-08-04T00:00:00Z

Compliance Associate

Chicago, IL
onsite
Permanent / Full Time
80000 - 85000 USD / Yearly
The salary range for this position is $80,000-$85,000 and it comes with benefits, including medical, vision, dental, life, and disability insurance. To apply to this hybrid role please send your resume to [email protected] We are seeking a Compliance Associate to join our team in Elmhurst, Illinois. This role is pivotal in upholding our firm's adherence to regulations and policies, and will involve the use of various software systems to monitor business activities, maintain records, and aid in communication across departments. Job Description:• Utilize Sungard Protegent system for monitoring trading activity and real-time alerts.• Ensure accurate and up-to-date record keeping for swift response to inquiries or audits.• Contribute to the development, review, and upkeep of our Written Supervisory Procedures.• Foster a culture of compliance and trading by working closely with senior management.• Provide continuous support for registered investment advisors and representatives.• Collaborate effectively with all departments, both independently and as part of a team.• Review and approve marketing materials, including social media posts, to ensure compliance.• Utilize CRM and ERP software systems to manage customer interactions and business resources.• Use accounting software systems and perform accounting functions as required.• Use communication and auditing skills to administer claims and produce clear reports.
2026-07-29T00:00:00Z

SEC Compliance Manager/Director

Spring, TX
onsite
Permanent / Full Time
130000 - 165000 USD / Yearly
We are looking for an experienced SEC Compliance Manager/Director to lead external reporting and regulatory compliance activities for a growing organization in The Woodlands, Texas. This role will oversee the preparation and review of filings, strengthen reporting controls, and partner with finance and leadership teams to ensure accurate, timely disclosures. The ideal candidate brings deep knowledge of SEC financial reporting, strong analytical judgment, and the ability to guide compliance efforts in a dynamic energy and natural resources environment. Responsibilities: • Lead the planning, preparation, and submission of periodic and annual SEC filings, ensuring completeness, accuracy, and adherence to reporting deadlines. • Review financial statements, disclosures, and supporting schedules to confirm compliance with applicable regulatory standards and corporate reporting requirements. • Partner with accounting, finance, legal, and executive stakeholders to coordinate external reporting deliverables and resolve disclosure-related issues. • Monitor changes in SEC rules and other relevant regulations, translating new requirements into practical reporting processes and controls. • Maintain and enhance internal compliance procedures that support reliable financial reporting and consistent documentation practices. • Oversee the collection, validation, and organization of reporting data, using tools such as Splunk where appropriate to support analysis and monitoring activities. • Provide leadership and guidance to team members involved in regulatory reporting, helping establish priorities and improve overall reporting quality. • Support audits, reviews, and special compliance-related projects by preparing documentation and responding to internal and external information requests.
2026-08-20T00:00:00Z

SEC Compliance Manager/Director

Buffalo, NY
onsite
Permanent / Full Time
120000 - 140000 USD / Yearly
Kyle Clarke of Robert Half in Buffalo, NY is assisting a local client that is looking for an experienced SEC Compliance Manager/Director to lead external reporting activities. This role is responsible for delivering accurate, timely filings and helping ensure the company remains aligned with applicable SEC regulations and reporting standards. The ideal candidate brings strong technical accounting knowledge, sound judgment, and the ability to coordinate effectively across finance, legal, and executive stakeholders. Responsibilities:• Lead the planning, preparation, review, and submission of periodic SEC filings, including Forms 10-K, 10-Q, 8-K, and the annual proxy statement.• Oversee the accuracy and completeness of external financial disclosures to support compliance with SEC rules and public company reporting obligations.• Partner with internal finance and legal teams to gather reporting inputs, resolve disclosure issues, and maintain filing readiness throughout the year.• Manage reporting timelines and coordinate cross-functional contributors to ensure all deadlines are met without compromising quality.• Evaluate new accounting guidance and regulatory developments to determine their impact on external reporting and disclosure practices.• Support the development and enhancement of reporting controls, documentation, and review procedures related to SEC financial reporting.• Provide insight and recommendations to senior leadership on disclosure matters, filing requirements, and compliance-related risks.• Assist with special reporting projects and other governmental filing requirements as needed.
2026-08-04T00:00:00Z

SOX Compliance Manager/Director

Wallingford, CT
onsite
Permanent / Full Time
150000 - 180000 USD / Yearly
Director of Internal Audit (SOX)Location: Greater New Haven Area & HybridReference: SF0013488150Recruiter Contact: Sal Fiorillo — Sal.Fiorillo@RobertHalf Key Responsibilities:<ul><li>Lead the planning and execution of SOX (ICFR) and substantive audits over consolidated financial statements.</li><li>Evaluate the design and operating effectiveness of internal controls; identify control gaps and recommend remediation.</li><li>Ensure all audit work aligns with US GAAP, SEC reporting requirements, and SOX regulations.</li><li>Identify and assess financial, operational, and reporting risks; develop risk-mitigation strategies.</li><li>Research, review, and document complex technical accounting issues and emerging standards.</li><li>Evaluate business processes and transactions for accuracy, reliability, and compliance with SEC filings.</li><li>Prepare and present audit reports to senior management, highlighting key risks and actionable recommendations.</li><li>Maintain oversight of audit findings to ensure timely remediation.</li><li>Build and maintain strong relationships with internal stakeholders, external auditors, and business unit leaders.</li><li>Support special projects such as accounting advisory, operational audits, investigations, acquisition integration, and process-improvement initiatives (approx. 15–20%).</li></ul>Requirements<ul><li>10+ years of experience in public accounting or a mix of public accounting and industry (manufacturing exposure strongly preferred).</li><li>CPA required.</li><li>Strong technical background in US GAAP, SEC reporting, and SOX compliance.</li><li>Experience evaluating internal controls, leading audits, and presenting to senior leadership.</li><li>Exceptional communication skills and ability to thrive in a fast-paced, global environment.</li></ul>WHY WE LIKE THIS ROLE / COMPANY<ul><li>Exceptional growth trajectory — the company consistently outperforms its industry, with a history of doubling in size every 4–6 years.</li><li>Industry leader — ranked among the most profitable and highest-valued organizations in its sector.</li><li>Strong compensation framework — competitive salary, excellent benefits (401k, HSA, multiple plans), and meaningful equity potential.</li><li>Supportive, people-first culture — leadership prioritizes work-life balance, internal development, and long-term employee success.</li><li>True career acceleration — this department is known as a talent incubator, with prior team members advancing into key leadership roles throughout the company!</li></ul>If you meet the minimum requirements and want to learn more about this opportunity, please email your resume to the email listed above.All inquiries are confidential. Please note at Robert Half we never present your background to a client company without your permission.
2026-08-13T00:00:00Z

Accounting Manager - Payroll and compliance

Pittsford, NY
onsite
Temporary / Contract
40 - 50 USD / Hourly
Seeking an experienced Payroll & Accounting Manager to provide hands-on support across payroll and general accounting. The role may lean more heavily toward payroll/prevailing wage or toward accounting, as long as the candidate has experience across both areas.
2026-08-21T00:00:00Z

Certification & Compliance Specialist

Seattle, WA
onsite
Temporary / Contract
40 - 43 USD / Hourly
We are seeking an organized and detail-oriented FAA Certification & Compliance Specialist to support certification and compliance activities for regulated aviation maintenance positions. This role is responsible for coordinating FAA certificate applications, scheduling FAA interviews, verifying employee qualifications and training, and maintaining certification records. The ideal candidate will be comfortable managing detailed workflows, handling regulated documentation, and identifying opportunities to improve processes and efficiencies.
2026-08-25T00:00:00Z

Compliance Officer - Broker Dealer / RIA

New York, NY
onsite
Permanent / Full Time
160000 - 200000 USD / Yearly
Robert Half Financial Services is recruiting for a Compliance Officer role for an International Broker Dealer and Investment firm located in midtown Manhattan, New York. Our client requires 8+ years of Compliance experience at a Broker Dealer or an RIA, with active FINRA Series 14 or Series 24 License and knowledge of SEC/FINRA Regulatory Compliance, Reg 15a-6, Client Onboarding and Compliance Monitoring. This role is hybrid remote requiring 4 days per week in the midtown Manhattan New York office. This role will provide regulatory oversight and advisory support across multiple business lines, with a primary focus on the firm’s registered broker-dealer activities. Reporting to the Chief Compliance Officer, the successful candidate will act as a trusted advisor to senior stakeholders, ensuring the firm operates in compliance with U.S. securities regulations (SEC, FINRA) while maintaining alignment with global compliance standards. Responsibilities:Regulatory Advisory & Oversight:<ul><li>Provide day-to-day compliance advice across business lines, including broker-dealer (15a-6), specialist lending, and global affiliates</li><li>Advise on SEC and FINRA regulations, including cross-border broker-dealer requirements</li><li>Act as a trusted advisor on complex, time-sensitive regulatory matters</li></ul>Compliance Framework & Risk Management:<ul><li>Identify, assess, and prioritize compliance and regulatory risks</li><li>Maintain and enhance policies, procedures, and internal controls</li><li>Ensure adherence to market conduct, conflicts management, and information barrier frameworks</li><li>Oversee compliance issue tracking, escalation, and remediation</li></ul>AML, KYC & Onboarding:<ul><li>Oversee client onboarding processes, including AML/KYC due diligence</li><li>Support and enhance the firm’s AML program</li></ul>Governance, Reporting & Audits:<ul><li>Manage record-keeping obligations and regulatory reporting requirements</li><li>Deliver management reporting on compliance risks and emerging regulatory themes</li><li>Support internal and external audits, ensuring readiness and remediation of findings</li><li>Liaise with regulators and support regulatory examinations and inquiries</li></ul>Business Enablement:<ul><li>Support new business initiatives, transactions, and product approvals</li><li>Provide compliance input on strategic projects and business change initiatives</li></ul>Monitoring & Employee Oversight:<ul><li>Oversee personal account dealing and employee compliance activities</li><li>Support licensing and registration processes</li></ul>Stakeholder & Global Collaboration:<ul><li>Collaborate with Legal, Control Room, Surveillance, IT, Operations, and third-party vendors</li><li>Work closely with global Compliance teams to ensure consistency</li></ul>
2026-08-10T00:00:00Z

Sr. Healthcare IT Compliance Manager

Spring Hill, FL
remote
Permanent / Full Time
90000 - 130000 USD / Yearly
We are looking for an experienced Sr. Healthcare IT Compliance Manager to oversee compliance, audit readiness, and risk controls for healthcare-related operations in Spring Hill, Florida. This role partners with leadership and cross-functional teams to strengthen regulatory alignment, improve internal controls, and support high standards across compliance programs and physician services activities. The ideal candidate brings strong healthcare industry knowledge, sound judgment, and the ability to translate regulatory expectations into practical business processes. Responsibilities: • Direct compliance initiatives that support healthcare operations, ensuring practices align with applicable laws, standards, and internal governance expectations. • Plan and conduct internal reviews, operational audits, and risk assessments to identify control gaps and recommend practical corrective actions. • Create, maintain, and enhance policies, procedures, and training materials that promote compliant behavior and consistent operational execution. • Work closely with stakeholders across leadership, clinical support functions, and business teams to address regulatory concerns and strengthen oversight processes. • Manage preparation for external examinations, customer reviews, and internal audit activities by organizing documentation, tracking remediation, and monitoring follow-through. • Investigate reported compliance issues, evaluate root causes, and implement preventive measures that reduce future exposure. • Review vendor relationships, contracts, and operational workflows to identify compliance risks related to healthcare services and supporting technologies. • Monitor changes in healthcare regulations and industry guidance, then advise leadership on potential operational impact and recommended actions.
2026-07-30T00:00:00Z

Quality Compliance Specialist

Petaluma, CA
onsite
Temporary / Contract
35.625 - 41.25 USD / Hourly
We are looking for a Quality Compliance Specialist to join a Contract assignment supporting quality and regulatory activities in Petaluma, California. This role blends compliance coordination, administrative support, and project-based work in a hybrid environment, making it well suited for someone who is organized, proactive, and comfortable improving processes. The ideal candidate brings experience with regulated products, strong documentation habits, and the technical confidence to manage information accurately while partnering with internal teams. Responsibilities: • Coordinate day-to-day quality and compliance activities to help maintain accurate records, timely follow-up, and consistent execution of required tasks. • Support coverage for a leave of absence by completing cross-training, learning current workflows, and ensuring continuity across compliance-related operations. • Maintain organized documentation, track open items, and capture guidance clearly so information can be referenced without repeated follow-up. • Partner with internal stakeholders to monitor regulatory and quality requirements associated with product distribution, including compliance considerations for yeast-related products. • Contribute to administrative and project coordination work by managing schedules, status updates, and task ownership across multiple priorities. • Identify opportunities to strengthen existing procedures and recommend practical improvements that increase consistency and efficiency. • Use business systems and digital tools effectively to manage records, reporting, and workflow updates in a hybrid work setting. • Serve as a reliable point of contact for compliance support, escalating issues appropriately and helping teams stay aligned with established processes.
2026-08-19T00:00:00Z

Fractional- Chief Compliance Officer

New York, NY
onsite
Temporary / Contract
95 - 110 USD / Hourly
We are looking for an experienced compliance leader to guide the regulatory program for a market-making business based in New York, New York. This Long-term Contract position will play a central role in strengthening oversight across trading activity, supervisory practices, and reporting obligations while supporting business growth with sound compliance guidance. The ideal candidate brings deep broker-dealer expertise, strong knowledge of trading regulations, and the ability to advise senior stakeholders on complex compliance matters. Responsibilities: • Direct the compliance function for the market-making business, establishing effective oversight across trading operations, surveillance activity, and regulatory reporting obligations. • Interpret and apply broker-dealer, exchange, and applicable industry regulations to ensure the business operates within required compliance standards. • Provide practical guidance on market-making activities, order handling practices, execution quality, trade reporting, and supervisory expectations. • Lead reviews, monitoring efforts, and investigations involving trading behavior, employee conduct, and potential regulatory concerns. • Coordinate responses to regulatory exams, information requests, filings, and corrective action plans to support timely and accurate resolution. • Advise stakeholders on controls related to electronic and algorithmic trading, including governance, escalation processes, and risk mitigation measures. • Work closely with Legal, Risk, Operations, Technology, and business leadership to maintain broad and consistent compliance coverage across the organization. • Oversee the development and maintenance of policies, procedures, risk assessments, training programs, and supervisory documentation. • Build, mentor, and lead a strong compliance team while communicating material risks, trends, and key issues to senior management.
2026-08-25T00:00:00Z

Representative, Contract Compliance

Houston, TX
onsite
Temporary / Contract
32 - 40 USD / Hourly
We are looking for a contract compliance specialist to support renewable energy commercial activities in Houston, Texas. This Long-term Contract position will partner closely with sales, legal, and internal stakeholders to manage agreements tied to the purchase and sale of gas and energy products. The role requires strong judgment in reviewing contract language, balancing business objectives with risk awareness, and keeping negotiations moving efficiently. Success in this position will come from strong organization, clear communication, and the ability to work independently across multiple active agreements. Responsibilities: • Prepare, review, revise, and negotiate legal and commercial agreements such as NDAs, master agreements, and other customer or supplier contracts using both company and third-party templates. • Coordinate with sales, legal counsel, counterparties, and cross-functional teams to move contracts from initial review through final execution. • Evaluate proposed terms to identify legal, commercial, and operational exposure, and communicate key risks along with practical mitigation options. • Manage contracting activity across assigned workstreams, setting priorities based on business needs, stakeholder input, and timing requirements. • Analyze contract-related information and collaborate with internal partners to support the selection, onboarding, and execution of counterparty agreements. • Develop commercial language that aligns with stakeholder expectations while strengthening protection in external business relationships. • Monitor contract progress and provide regular status updates, issue tracking, and reporting to business partners and leadership. • Support compliance with established contracting policies, procedures, and methods throughout the agreement lifecycle. • Contribute to the improvement of standardized templates, workflows, and documentation practices to increase consistency and efficiency. • Maintain accurate records and tracking details for active engagements to help ensure timely delivery and effective team communication.
2026-08-25T00:00:00Z

Senior Compliance Review Analyst

Boston, MA
onsite
Temporary / Contract
30 - 35 USD / Hourly
Seeking experienced professionals to support quality review, investigative oversight, and compliance-related activities within a regulated environment. This role focuses on evaluating completed reviews, ensuring documentation quality, and maintaining adherence to established standards and procedures. Responsibilities: Review completed investigations, alerts, and case documentation for accuracy, completeness, and consistency Identify matters that require additional review, escalation, or follow-up Evaluate investigative findings and support reporting recommendations when appropriate Document review outcomes clearly and concisely Ensure work aligns with internal policies, procedures, and regulatory requirements Analyze trends, findings, and data to support quality and risk management initiatives
2026-08-10T00:00:00Z

Enterprise IT & Ops Compliance - Manufacturing

Wichita, KS
onsite
Permanent / Full Time
95000 - 125000 USD / Yearly
Position: Enterprise IT & Ops Compliance Leader - Manufacturing Location: Wichita, KS Salary: $95,000 - $125,000 base + exceptional benefits *** For immediate and confidential consideration, please send a message to MEREDITH CARLE on LinkedIn or send an email to me with your resume. My email can be found on my LinkedIn page. *** Why This Role Stands Out This is a rare opportunity to build and own a corporate compliance program from the ground up inside a complex, highly regulated environment. You’ll partner directly with senior leadership and play a critical role in protecting the business, enabling growth, and shaping the organization’s compliance culture. What You’ll Do • Lead the end-to-end compliance program – design, implement, audit, and continuously improve • Serve as the subject matter expert on export controls (ITAR/EAR) and regulatory risk • Drive enterprise-wide risk assessments and mitigation strategies • Oversee internal audits, and investigation cases • Advise executives and leadership on regulatory changes and business impact • Build and deliver training programs that strengthen a culture of compliance • Partner cross-functionally with Legal, IT, Operations, and Audit • Report directly to senior leadership and board-level stakeholders What You Bring • 5+ years of compliance experience in highly regulated manufacturing industries • Deep expertise in ITAR, EAR, and export control regulations • Strong knowledge of FAR/DFARS and government contracting requirements • Familiarity with CMMC, NIST 800-171 (FCI/CUI) • Experience with ERP, QMS, PLM systems + compliance tools • Proven ability to build or scale compliance programs from scratch • Strong analytical mindset with the ability to turn data into actionable insight What Makes You Successful • You’re both strategic and hands-on • You thrive in complex, high-stakes environments • You can influence at the executive level while executing in the details • You bring a proactive, risk-aware, solutions-driven mindset If you're looking for a role where you can own, build, and lead compliance at a strategic level, this is it.
2026-07-29T00:00:00Z

International Tax Compliance Manager

New York, NY
onsite
Permanent / Full Time
140000 - 150000 USD / Yearly
We are looking for an experienced International Tax Compliance Manager to support global tax reporting and compliance activities for a multinational organization in New York, New York. This role focuses on foreign subsidiary tax reporting, U.S. international tax filings, and analysis related to global income tax positions. The ideal candidate brings strong technical knowledge, sound judgment, and the ability to partner effectively with finance and business stakeholders. Responsibilities: • Evaluate foreign income tax provision data for international entities and assess reporting accuracy for the consolidated group. • Review projected pre-tax income and income tax information used in budgets, forecasts, and periodic updates for non-U.S. subsidiaries. • Prepare and manage required U.S. international tax filings, including Forms 5471, 5472, 5713, 8858, 8865, and 1120F. • Track and maintain tax basis records for foreign entities to support compliance and reporting needs. • Analyze international income inclusions under U.S. tax rules, including Subpart F, and consider the effects of current tax law provisions such as GILTI and Section 163(j). • Update earnings and profits calculations, monitor foreign tax pools, and compute tested income or loss for applicable entities. • Conduct research on international tax matters and contribute to planning initiatives that address compliance and business needs. • Serve as a tax advisor to internal business partners by identifying material issues and assessing related tax exposure, benefit, and risk. • Collaborate with the parent company accounting team by responding to information requests and supporting cross-functional tax matters.
2026-07-31T00:00:00Z