45 Results for Compliance Specialist Jobs

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Compliance Specialist

Madison, WI
onsite
Permanent / Full Time
28 - 31 USD / Hourly
We are looking for a Compliance Specialist in Madison, Wisconsin. This role focuses on maintaining regulatory compliance across properties with varied funding structures while partnering with leadership to promote consistent practices. Responsibilities:• Review and provide secondary approval for resident certifications and recertifications across assigned properties with multiple subsidy and financing arrangements.• Manage certification activities for external compliance portfolios, ensuring documentation is complete, accurate, and submitted on time.• Prepare audit-related communications, track findings, and complete required annual reports for applicable funding programs.• Update required occupancy and recertification records, including resident move-ins, move-outs, and ongoing eligibility changes.• Analyze household income and assets to determine program eligibility, rent levels, and rental assistance calculations.• Complete monthly compliance processing for designated properties in accordance with program deadlines and reporting standards.• Serve as a resource to on-site staff by answering policy questions, providing guidance on procedures, and supporting consistent compliance practices.• Partner with the Compliance Director on portfolio oversight and contribute to additional assignments that support regulatory performance
2026-10-18T00:00:00Z

Compliance Specialist

Phoenix, AZ
onsite
Temporary to Hire
24 - 26 USD / Hourly
Robert Half Legal is partnering with an established and growing consumer debt recovery law firm in its search for a Compliance Specialist. This is a contract-to-hire opportunity offering $25/hour during the contract period, with the opportunity to join a collaborative and fast-paced team focused on operational excellence, quality, and regulatory compliance. This position is fully onsite, Monday through Friday, with business hours of 7:00 AM to 4:00 PM. Position OverviewThe Compliance Specialist will play a key role in supporting compliance, quality assurance, and operational best practices across the organization. While experience within consumer debt collection is a plus, it is not required. Our client is open to candidates with strong transferable experience in compliance, quality assurance, auditing, legal support, risk management, operations, or other highly regulated environments.The ideal candidate is analytical, detail-oriented, proactive, and capable of identifying issues, conducting thorough reviews, and communicating findings clearly. This role is well-suited for someone who enjoys problem-solving, investigating issues, improving processes, and ensuring work is completed accurately and consistently. Key Responsibilities<ul><li>Conduct audits, reviews, and quality control assessments of files, correspondence, and internal processes.</li><li>Analyze findings, identify trends, and make recommendations to improve compliance and operational efficiency.</li><li>Investigate complaints, discrepancies, and process issues, documenting findings and proposed resolutions.</li><li>Draft professional written responses, reports, and compliance-related documentation.</li><li>Track regulatory inquiries, internal reviews, and action items to ensure timely completion.</li><li>Assist with maintaining policies, procedures, and process documentation.</li><li>Collaborate with operational teams to identify risks, improve workflows, and strengthen internal controls.</li><li>Support compliance training initiatives and serve as a resource for internal questions and best practices.</li><li>Maintain organized records and ensure documentation is accurate, complete, and audit-ready.</li><li>Participate in special projects and process improvement initiatives as assigned.</li></ul>
2026-10-02T00:00:00Z

Compliance Analyst

Raleigh, NC
onsite
Permanent / Full Time
80000 - 100000 USD / Yearly
We are looking for a Compliance Analyst to support international trade compliance activities in Raleigh, North Carolina. This position plays an important role in protecting the business from regulatory risk while helping improve cost control and operational performance across import and export processes. The individual in this role will coordinate compliance efforts, monitor trade requirements, and provide clear reporting and guidance to internal stakeholders. Responsibilities: • Oversee product classification activities for U.S. customs purposes and help maintain accurate trade records in line with regulatory requirements. • Administer document retention practices and support supply chain security programs to strengthen compliance and risk controls. • Track changes in import and export laws, tariffs, and government initiatives, then communicate relevant updates to affected teams. • Partner with internal departments and an external drawback broker to assemble, review, and submit duty drawback claim support documentation. • Prepare status updates and audit reporting related to drawback activities, ensuring stakeholders receive timely and accurate information. • Identify opportunities to recover duties paid on imported goods and recommend actions that improve financial results. • Manage obligations tied to Section 301, Section 232, and other applicable trade remedy programs. • Deliver training and practical compliance guidance to cross-functional teams involved in trade-related operations. • Provide oversight of compliance-related systems and processes to promote accuracy, consistency, and operational efficiency.
2026-10-21T00:00:00Z

Compliance Officer

Dallas, TX
onsite
Permanent / Full Time
120000 - 175000 USD / Yearly
We are looking for an experienced U.S. Compliance Lead to lead day-to-day compliance support for a rapidly expanding fintech payments business in Dallas, Texas. This role serves as a trusted advisor to local leadership, helping the company navigate regulatory obligations while supporting practical business growth. The position is well suited to someone who can work independently, communicate clearly across teams, and balance commercial goals with strong risk judgment. Responsibilities:• Provide practical guidance to business leaders on routine compliance and legal matters, and elevate complex or higher-risk issues when appropriate.• Oversee customer-related escalations such as disputes, refunds, chargebacks, onboarding concerns, transaction reviews, and sanctions-related matters.• Review customer-facing content including terms and conditions, promotional offers, marketing materials, and operational communications to ensure regulatory alignment.• Maintain and strengthen the U.S. compliance framework by updating policies, controls, and monitoring processes related to AML, KYC, and other key obligations.• Serve as a key resource for sanctions, financial crime, and regulatory compliance matters, including support for designated officer responsibilities when needed.• Advise internal stakeholders on applicable payment regulations, money transmission considerations, card network requirements, and ACH operating rules.• Support relationships with sponsor banks and other financial partners by assisting with due diligence, audits, oversight activities, and recurring reporting needs.• Review and negotiate a range of commercial agreements, including vendor, software, referral, and strategic partnership contracts.• Partner with teams launching new products, pricing models, and commercial arrangements by identifying compliant paths forward and outlining risk considerations.• Create practical templates, playbooks, and decision tools that help teams address routine compliance questions more efficiently.
2026-10-28T00:00:00Z

Compliance Coordinator

Phoenix, AZ
onsite
Temporary to Hire
20 - 22 USD / Hourly
Robert Half Legal is partnering with an established and growing consumer debt recovery law firm in its search for a Compliance Coordinator. This is a contract-to-hire opportunity ideal for an early-career professional looking to build experience in compliance, quality assurance, operations, or legal support within a regulated environment. The Compliance Coordinator will support a collaborative compliance team and work closely with senior leadership to help maintain quality standards, review documentation, track workflows, and assist with day-to-day compliance initiatives. Schedule: Monday-Friday, 7:00 AM-4:00 PM (Onsite)Compensation: $20.00-$22.00/hour during the contract periodEmployment Type: Contract-to-Hire Position OverviewThis role is an excellent fit for a recent graduate or early-career professional with strong attention to detail, critical thinking skills, and a desire to learn. Prior consumer debt collection or compliance experience is not required. Our client is more focused on finding an individual who is organized, analytical, coachable, and capable of handling detailed work with accuracy and professionalism.The Compliance Coordinator will assist with file reviews, documentation management, audit preparation, quality assurance efforts, process tracking, and other administrative and compliance-related responsibilities. The ideal candidate enjoys working with data, identifying inconsistencies, following procedures, and contributing to process improvements. Key Responsibilities<ul><li>Assist with reviewing files, correspondence, and account documentation for accuracy and completeness.</li><li>Support compliance audits and quality assurance reviews by gathering information and documenting findings.</li><li>Track and organize compliance-related records, reports, and internal documentation.</li><li>Assist with researching and investigating customer complaints, account discrepancies, and process-related issues.</li><li>Prepare reports, summaries, and written documentation for review by senior compliance team members.</li><li>Monitor deadlines and help ensure timely completion of compliance-related tasks and projects.</li><li>Maintain accurate and organized electronic records.</li><li>Assist with policy, procedure, and training documentation updates.</li><li>Collaborate with multiple departments to obtain information and resolve outstanding items.</li><li>Support ongoing process improvement and operational efficiency initiatives.</li></ul>
2026-10-02T00:00:00Z

Compliance Examiner

Alpharetta, GA
onsite
Permanent / Full Time
100000 - 120000 USD / Yearly
🏡🔍 COMPLIANCE EXAMINER | BUILD A COMPLIANCE PROGRAM FROM THE GROUND UP 🔍🏡 Ready to move beyond traditional EHS or industrial hygiene roles and become a key voice in building an enterprise-wide compliance program? Our client, a large and mission-driven real estate organization headquartered in Alpharetta, GA, is seeking a Compliance Examiner to join a newly formed compliance team. This is a unique opportunity to get in at the ground level and help design the processes, dashboards, controls, and risk-monitoring strategies that will support a national portfolio. The role focuses on high-risk maintenance, environmental health and safety (EHS), and compliance reviews. 💡 Why This Opportunity Stands Out✅ Be part of a newly established compliance function with significant visibility✅ Help design and shape a compliance program from the ground up✅ Partner with experienced compliance and risk professionals✅ Work directly with leadership in a highly collaborative environment✅ Join a company known for employee longevity, strong culture, and meaningful work✅ Gain exposure to large-scale operational and compliance data analytics What You'll Be Doing📊 Analyze large volumes of maintenance and compliance data to identify trends, gaps, and risks🏠 Serve as the subject matter expert on high-risk residential environmental health and safety matters, including mold, moisture intrusion, asbestos, lead-based paint concerns, and other life-safety issues🔍 Conduct risk-based compliance reviews focused on emergency, urgent, and EHS-related work orders📈 Perform root cause analysis and recommend corrective actions📝 Develop reporting, testing, and monitoring processes to improve compliance outcomes🤝 Collaborate with cross-functional stakeholders to implement best practices and drive continuous improvement efforts⚙️ Support the development of SOPs, QA/QC processes, corrective action plans, and compliance reporting initiatives.
2026-10-01T00:00:00Z

Compliance Associate

Elmhurst, 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.
2026-10-09T00:00:00Z

Compliance Manager

Midland, TX
onsite
Permanent / Full Time
0 - 0 USD / Yearly
We are looking for a Compliance Manager to oversee fleet and driver compliance operations for our Energy/Natural Resources business in Midland, Texas. This role is responsible for keeping vehicle, trailer, and driver records current while helping ensure day-to-day operations meet applicable transportation and safety requirements. The ideal candidate brings strong administrative discipline, sound judgment, and the ability to work across HR, Safety, Operations, and leadership to address compliance risks before they affect the business. Responsibilities: • Oversee a centralized record of trucks, trailers, and other assigned fleet assets, ensuring key details such as identification data, assigned users or locations, registrations, inspections, maintenance status, and operational compliance records remain accurate and up to date. • Manage the approved driver roster by partnering with HR, Safety, insurance, and operational leaders to verify licensing, eligibility, certifications, training completion, and any applicable driving restrictions. • Review planned vehicle and trailer assignments to determine regulatory obligations related to weight classifications, operating jurisdictions, driver qualifications, hours-of-service, inspection standards, registration, and permitting requirements. • Prevent noncompliant vehicle operation by confirming that drivers and equipment are not dispatched when required qualifications, certifications, inspections, registrations, or authorizations are missing or expired. • Maintain driver qualification files and supporting records, including motor vehicle reports, license information, medical documentation, review cycles, and other materials required by regulation or company policy. • Coordinate hours-of-service and recordkeeping compliance where applicable, and retain documentation that supports exemptions or operational determinations when permitted under governing rules. • Administer regulated drug and alcohol program requirements for covered drivers while distinguishing those processes from nonregulated company testing protocols, escalating concerns to HR as needed. • Monitor approved fleet technology and telematics data to identify unsafe driving patterns, unauthorized use, vehicle alerts, maintenance concerns, and other exceptions, then document and report notable issues to management. • Prepare recurring compliance and fleet exception reports covering credential expirations, training deficiencies, inspection or maintenance delays, incidents, citations, and unresolved corrective actions. • Work with Operations, shop personnel, branch leadership, and external vendors to coordinate required inspections, repairs, and maintenance activities and to ensure supporting records are properly maintained.
2026-10-19T00:00:00Z

Compliance Manager

Oakland, CA
remote
Temporary / Contract
65 - 80 USD / Hourly
Our client, a well-established higher education organization, is seeking an experienced Compliance Manager to provide leadership and guidance across compliance, privacy, and regulatory initiatives. This is an ongoing contract opportunity. We are looking for a seasoned compliance professional who can quickly step into a highly visible role, serve as a trusted resource to stakeholders, and help support ongoing compliance efforts with minimal ramp-up. The ideal candidate will bring a broad compliance background, strong leadership experience, and prior experience supporting compliance programs within a higher education environment. Key Responsibilities<ul><li>Serve as a subject matter resource for compliance, regulatory, and privacy-related questions.</li><li>Provide leadership and guidance on compliance initiatives, policies, and best practices.</li><li>Partner with internal stakeholders to identify and address compliance risks.</li><li>Support the development, implementation, and maintenance of compliance programs.</li><li>Assist with audits, investigations, reporting requirements, and regulatory inquiries.</li><li>Review and recommend improvements to compliance-related processes and procedures.</li><li>Ensure organizational practices align with applicable laws, regulations, and internal policies.</li><li>Advise leadership on emerging compliance issues and risk management strategies.</li><li>Help foster a culture of ethics, accountability, and regulatory compliance.</li></ul>
2026-10-24T00:00:00Z

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.
2026-10-15T00:00:00Z

Senior Compliance Officer

Colorado Springs, CO
onsite
Permanent / Full Time
80000 - 100000 USD / Yearly
A well-established community bank in Colorado Springs is seeking a Senior Compliance Officer to support and strengthen its compliance program. This is an excellent opportunity for an experienced banking compliance professional who enjoys partnering with business leaders, navigating regulatory requirements, and helping guide the organization through an increasingly complex regulatory environment. The ideal candidate will possess a broad banking compliance background with experience supporting both lending and deposit operations. Success in this role requires an understanding of the regulatory requirements that impact the full banking relationship, including consumer and commercial lending, deposit products, operational banking functions, and customer-facing services. Community bank experience is strongly preferred. Position SummaryThe Senior Compliance Officer will be responsible for supporting and enhancing the Bank's Compliance Management System (CMS), monitoring regulatory changes, conducting risk assessments, coordinating audits and examinations, and serving as a trusted compliance resource to leaders throughout the organization. This position offers significant visibility across the bank and the opportunity to influence compliance strategy while supporting business growth and operational excellence. Key Responsibilities<ul><li>Support the administration and continuous improvement of the Bank's Compliance Management System (CMS)</li><li>Monitor federal and state banking regulations and communicate regulatory developments to management and business units</li><li>Conduct compliance monitoring, testing, and risk assessment activities across lending, deposit, and operational functions</li><li>Review policies, procedures, products, disclosures, and services to ensure compliance with applicable regulations</li><li>Coordinate and support regulatory examinations, internal audits, and external audits</li><li>Partner with Lending, Deposit Operations, Retail Banking, Treasury Management, and other departments to provide compliance guidance</li><li>Research and interpret banking regulations and provide practical recommendations to internal stakeholders</li><li>Assist with complaint management, issue remediation, and corrective action plans</li><li>Support fair lending, UDAAP, HMDA, CRA, BSA/AML, consumer compliance, and deposit compliance initiatives</li><li>Prepare reports and presentations for executive leadership and compliance committees</li><li>Develop and deliver compliance training programs</li><li>Participate in change management initiatives involving new products, services, systems, and regulatory requirements</li></ul>Ideal BackgroundThe successful candidate will bring a well-rounded banking compliance background with meaningful exposure to both lending and deposit compliance. While mortgage and loan compliance expertise is valuable, the Bank is seeking an individual who understands the regulatory requirements impacting the entire institution, including deposit products, account operations, consumer banking services, and lending activities. Candidates whose experience has been concentrated primarily on one side of the bank, such as mortgage lending compliance alone, may not possess the breadth of experience necessary for success in this role.
2026-10-14T00:00:00Z

Senior Compliance Officer

Colorado Springs, CO
onsite
Permanent / Full Time
85000 - 100000 USD / Yearly
A well-established community bank in Colorado Springs is seeking a Senior Compliance Officer to support and strengthen its compliance program. This is an excellent opportunity for an experienced banking compliance professional who enjoys partnering with business leaders, navigating regulatory requirements, and helping guide the organization through an increasingly complex regulatory environment. The ideal candidate will possess a broad banking compliance background with experience supporting both lending and deposit operations. Success in this role requires an understanding of the regulatory requirements that impact the full banking relationship, including consumer and commercial lending, deposit products, operational banking functions, and customer-facing services. Community bank experience is strongly preferred. Position SummaryThe Senior Compliance Officer will be responsible for supporting and enhancing the Bank's Compliance Management System (CMS), monitoring regulatory changes, conducting risk assessments, coordinating audits and examinations, and serving as a trusted compliance resource to leaders throughout the organization. This position offers significant visibility across the bank and the opportunity to influence compliance strategy while supporting business growth and operational excellence. Key Responsibilities<ul><li>Support the administration and continuous improvement of the Bank's Compliance Management System (CMS)</li><li>Monitor federal and state banking regulations and communicate regulatory developments to management and business units</li><li>Conduct compliance monitoring, testing, and risk assessment activities across lending, deposit, and operational functions</li><li>Review policies, procedures, products, disclosures, and services to ensure compliance with applicable regulations</li><li>Coordinate and support regulatory examinations, internal audits, and external audits</li><li>Partner with Lending, Deposit Operations, Retail Banking, Treasury Management, and other departments to provide compliance guidance</li><li>Research and interpret banking regulations and provide practical recommendations to internal stakeholders</li><li>Assist with complaint management, issue remediation, and corrective action plans</li><li>Support fair lending, UDAAP, HMDA, CRA, BSA/AML, consumer compliance, and deposit compliance initiatives</li><li>Prepare reports and presentations for executive leadership and compliance committees</li><li>Develop and deliver compliance training programs</li><li>Participate in change management initiatives involving new products, services, systems, and regulatory requirements</li></ul>Ideal Background<ul><li>The successful candidate will bring a well-rounded banking compliance background with meaningful exposure to both lending and deposit compliance. While mortgage and loan compliance expertise is valuable, the Bank is seeking an individual who understands the regulatory requirements impacting the entire institution, including deposit products, account operations, consumer banking services, and lending activities. Candidates whose experience has been concentrated primarily on one side of the bank, such as mortgage lending compliance alone, may not possess the breadth of experience necessary for success in this role.</li></ul>
2026-10-27T00:00:00Z

Sr. Compliance Consultant

New York, NY
remote
Temporary to Hire
71.25 - 82.5 USD / Hourly
Our client is seeking a Senior Compliance Specialist to support and enhance the compliance program for a newly launched investment fund platform. This role will partner closely with Legal, Product, Operations, and external service providers to ensure compliance with SEC, FINRA, and investment management regulations. Key Responsibilities<ul><li>Support and maintain compliance policies, procedures, manuals, and supervisory controls.</li><li>Monitor regulatory developments and implement necessary compliance updates.</li><li>Conduct compliance testing, monitoring, and oversight of fund, adviser, and third-party service provider activities.</li><li>Support regulatory examinations, audits, inquiries, and remediation efforts.</li><li>Assist with regulatory filings, board reporting, fund governance, and disclosure reviews.</li><li>Coordinate with internal teams and external vendors to ensure compliant fund operations.</li><li>Deliver compliance training and promote a strong culture of compliance.</li><li>Support compliance programs under the Investment Company Act of 1940 and Investment Advisers Act of 1940. </li></ul>
2026-10-29T00:00:00Z

Compliance & Tax Accountant

Seattle, WA
onsite
Permanent / Full Time
100000 - 125000 USD / Yearly
We are looking for a Compliance & Tax Accountant to oversee tax-related accounting activities and help maintain full regulatory adherence across the organization. This role supports the company’s financial position by managing filings, improving tax processes, and identifying practical opportunities for savings. Based in Seattle, Washington, the position works closely with internal stakeholders and external partners to deliver accurate reporting and timely compliance across multiple jurisdictions. Responsibilities:• Manage preparation and submission of state and local tax returns, related payments, and supporting schedules in accordance with filing deadlines.• Investigate tax questions and apply well-supported solutions that balance compliance obligations with operational efficiency.• Maintain organized tax records and update internal databases to support reporting accuracy, audit readiness, and document retention.• Analyze available tax planning opportunities and present recommendations that may reduce exposure and improve overall financial performance.• Monitor adherence to federal, state, and local tax rules and coordinate corrective action when compliance issues are identified.• Administer business and occupation tax activities, including recurring filings, reconciliations, and review of policy impacts.• Oversee sales tax accounting by reviewing transactions, preparing journal entries, validating invoices, and completing periodic reporting.• Coordinate property tax responsibilities, including filings, valuation support, and timely remittance of assessed amounts.• Assist with annual K-1 preparation and distribution, along with business license filings, census reporting, and other compliance submissions.• Support internal and external audit activity, track regulatory developments, and prepare specialized filings such as fisheries-related tax reports and applicable credit or incentive documentation. Benefits<ul><li>Health & Welfare: Comprehensive medical, dental, and vision coverage for employees and families. Basic life insurance, voluntary life, and long-term disability included.</li><li>Retirement: Safe Harbor 401(k) plan.</li><li>Time Off: 8 paid holidays per year plus Paid Time Off (PTO) starting at 3 weeks annually (increasing with tenure).</li><li>Support: Employee Assistance Program (EAP) available for employees and dependents.</li><li>Commuter Benefits & Free Onsite Parking</li></ul>
2026-10-14T00:00:00Z

Sr. Compliance Analyst

San Francisco, CA
remote
Temporary / Contract
33.25 - 38.5 USD / Hourly
We are seeking a detail-oriented Senior Compliance Analyst to review direct marketing materials and customer communications for financial services products. This role focuses on ensuring marketing campaigns, promotional content, and customer-facing disclosures comply with applicable regulations, including UDAAP, TILA, Regulation Z, and CAN-SPAM. The ideal candidate has hands-on experience reviewing financial services marketing materials, identifying regulatory risks, and partnering with Marketing, Legal, Product, and Risk teams to support compliant campaign execution. Previous experience with Figma and Jira is a plus. Key Responsibilities Review direct marketing materials, advertisements, promotional offers, emails, and customer communications for regulatory compliance and accuracy. Evaluate disclosures, pricing, fees, promotional claims, and required terms under UDAAP, TILA, Regulation Z, and CAN-SPAM. Partner with Marketing, Legal, Product, and Risk teams to identify compliance concerns and provide practical guidance throughout campaign development and launch. Verify that marketing communications include appropriate disclosures, consent language, unsubscribe mechanisms, and other required consumer protections. Conduct quality checks and targeted reviews to identify compliance gaps, document findings, and recommend corrective actions. Maintain clear documentation of reviews, approvals, and remediation activities to support audits and regulatory examinations. Monitor regulatory developments and assist with updating compliance procedures, review standards, and internal guidance. Prepare compliance summaries, risk assessments, and reporting to support leadership oversight and continuous improvement. Required Qualifications detail oriented experience reviewing direct marketing materials or customer communications within financial services. Working knowledge of UDAAP, TILA, Regulation Z, and CAN-SPAM requirements. Strong understanding of marketing disclosures, consumer protection requirements, and advertising compliance. Excellent analytical, written communication, and documentation skills. Ability to work collaboratively with cross-functional stakeholders and communicate regulatory requirements clearly. Strong attention to detail and the ability to manage multiple reviews and deadlines. Preferred Qualifications Previous detail oriented experience using Figma for marketing asset review. Familiarity with Jira for workflow management, issue tracking, and compliance review processes.
2026-10-26T00:00:00Z

Sr. Compliance Analyst

San Francisco, CA
remote
Temporary / Contract
33.25 - 38.5 USD / Hourly
We are looking for an experienced Sr. Compliance Analyst to support marketing and customer communications oversight for financial products in San Francisco, California. This Long-term Contract position focuses on helping the business deliver accurate, compliant messaging while partnering closely with cross-functional teams to reduce regulatory risk. The ideal candidate brings strong knowledge of financial services compliance and can translate regulatory expectations into practical guidance, documentation, and reporting. Responsibilities: • Evaluate marketing and promotional materials for financial products to confirm disclosures, pricing details, fee information, and claims align with applicable regulatory standards. • Collaborate with Marketing, Legal, Product, and Risk partners to identify potential compliance concerns and advise teams during campaign planning, review, and launch activities. • Assess customer-facing communications before release to ensure consent language, opt-out instructions, required notices, and advertising expectations are properly addressed. • Conduct compliance testing, quality checks, and periodic reviews of campaigns and related materials to detect gaps and recommend corrective measures. • Research potential compliance issues, document observations clearly, and work with stakeholders to drive timely remediation and issue resolution. • Maintain organized records of reviews, approvals, supporting evidence, and audit documentation for internal oversight and regulatory examinations. • Track changes in regulatory requirements and industry guidance, then recommend updates to policies, procedures, and training content as needed. • Contribute to compliance program enhancements by supporting risk assessments, procedural development, and employee education across marketing and acquisition functions. • Prepare summaries, metrics, and presentations for management to communicate findings, highlight risk trends, and support process improvements.
2026-10-26T00:00:00Z

Sr. Compliance Analyst

San Francisco, CA
remote
Temporary / Contract
33.25 - 38.5 USD / Hourly
We are looking for a Sr. Compliance Analyst to support marketing and customer communications oversight for financial products in San Francisco, California. This Long-term Contract position focuses on helping the business meet regulatory expectations by reviewing promotional content, assessing compliance risk, and advising cross-functional partners on compliant execution. The ideal candidate brings strong knowledge of financial services compliance and can translate regulatory requirements into practical guidance for Marketing, Legal, Product, and Risk teams. Responsibilities: • Evaluate marketing and advertising materials for financial products to confirm disclosures, pricing details, promotional statements, and fee information align with applicable regulations. • Advise business partners across Marketing, Legal, Product, and Risk on compliance considerations during campaign planning, review, and launch activities. • Examine customer-facing communications before release to ensure consent language, opt-out options, and required notices are properly presented. • Perform compliance testing, quality reviews, and recurring audits of campaigns and related materials to detect control weaknesses and regulatory exposure. • Research potential compliance concerns, document observations, and work with stakeholders to drive corrective actions within established timelines. • Maintain organized records of approvals, review decisions, and supporting documentation to strengthen audit readiness and regulatory examination support. • Track changes in regulatory expectations and industry guidance, then recommend updates to policies, procedures, and training resources. • Contribute to risk assessments, compliance procedures, and employee education efforts that reinforce sound practices across marketing and customer acquisition activities. • Prepare summaries, metrics, and presentations on compliance results and risk themes to support leadership decision-making and ongoing process improvement.
2026-10-26T00:00:00Z

Compliance Consultant - Futures Commission Merchant

New York, NY
onsite
Temporary / Contract
50 - 60 USD / Hourly
Our client is seeking a compliance and surveillance analyst with 2 to 5 years of experience to join their newly registered Futures Commission Merchant (FCM). In this role, you will support our Chief Compliance Officer (CCO) in navigating NFA and CFTC frameworks, managing day-to-day regulatory operations, and executing trade surveillance. This position is ideal for an analyst with a foundation in FINRA or NFA regulations who wants to step into the cutting-edge intersection of digital assets and traditional derivatives. This role is onsite 2-3 days a week in Manhattan. Key Responsibilities<ul><li>Regulatory Responses: Assist the CCO in preparing timely responses to NFA and CFTC inquiries, audits, and routine exams.</li><li>Trade Surveillance: Monitor daily trading activity to detect and investigate potential market abuses, wash trading, or spoofing.</li><li>Policies & Procedures: Update, refine, and maintain the FCM’s written supervisory procedures to match evolving crypto-derivatives regulations.</li><li>Training Program Development: Create and deliver regulatory compliance training modules for internal staff and associated persons.</li></ul>
2026-10-27T00:00:00Z

Chief Compliance Officer

Seattle, WA
remote
Permanent / Full Time
200000 - 350000 USD / Yearly
We are looking for an accomplished Chief Compliance Officer to guide enterprise-wide compliance strategy for a private investment firm operating across the United States. This executive will serve as a key advisor to senior leadership on regulatory risk, securities compliance, and business practices in a highly regulated environment. This role is well suited for a licensed attorney with deep experience supporting private funds and broker-dealer activities. The salary range for the role is flexible but estimated between 200-350k DOE with an additional yearly bonus. They offer a full benefits package, including medical, dental, vision and life insurance, 401k with 4% match, 3-4 weeks PTO/sick leave, 7 paid holidays, paid CLE and bar dues and other perks. Responsibilities:• Direct the organization’s compliance and risk management program, ensuring alignment with applicable securities laws and regulatory expectations.• Advise executive leadership and revenue-focused teams on regulatory obligations, business risk, and compliant operating practices.• Lead, mentor, and oversee compliance staff, including paralegal support, while partnering closely with internal legal leadership.• Serve as a primary point of contact for external counsel and coordinate legal and compliance matters requiring outside expertise.• Develop, refine, and enforce policies, controls, and monitoring processes related to private fund offerings and investment advisory activities.• Oversee filings, disclosures, and compliance processes associated with regulations such as Regulation D, Regulation S, and applicable Blue Sky requirements.• Assess emerging compliance risks and recommend practical mitigation strategies.
2026-10-20T00:00:00Z

Mgr, Compliance - LIC

Minneapolis, MN
remote
Temporary / Contract
50 - 60 USD / Hourly
We are looking for a compliance-focused project leader to support key initiatives for a financial services firm in Minneapolis, MN. This Long-term Contract position will guide advisor-facing and member-facing programs by coordinating projects, strengthening review processes, and helping teams deliver compliant educational and promotional content. The role is well suited for someone who brings financial services experience, sound judgment in regulated environments, and the ability to turn complex requirements into practical, scalable solutions. Responsibilities:• Direct cross-functional initiatives from early planning through launch, keeping timelines, priorities, and stakeholder expectations aligned.• Coordinate operational and compliance activities for financial education and membership programs that support both advisors and members.• Manage project plans, gather business needs, track risks, and provide clear status updates and recommendations to leadership.• Work with internal partners and external vendors to implement tools, process enhancements, and program improvements that increase efficiency and scale.• Oversee review and approval routing for promotional, educational, and presentation materials to help ensure adherence to regulatory standards and internal policies.• Apply compliance and regulatory guidance to consumer-facing and advisor-facing content in collaboration with legal, marketing, and business teams.• Identify opportunities to streamline workflows, reduce manual effort, and improve consistency across compliance-related programs and operations.• Contribute to the evaluation and use of technology, including AI-enabled solutions, content platforms, marketing tools, and compliance workflow systems with appropriate oversight.• Lead stakeholder meetings, drive follow-through on deliverables, and communicate progress, issues, and key decisions across business partners.
2026-10-06T00:00:00Z

Trade Compliance Manager

Memphis, TN
onsite
Permanent / Full Time
100000 - 110000 USD / Yearly
We are working with a prestigious client who is looking for an experienced Trade Compliance Manager to lead and strengthen a company-wide program that supports lawful, efficient global trade activity in Memphis, Tennessee. This role is responsible for guiding import and export compliance efforts, partnering with leadership and cross-functional teams, and helping the business navigate evolving regulatory obligations. The ideal candidate brings deep expertise in trade regulations, strong operational judgment, and the ability to build practical controls that support business performance. Responsibilities:• Lead the ongoing development, oversight, and enhancement of the organization’s trade compliance framework, including policies, procedures, and internal control measures.• Review import and export activity to verify adherence to applicable U.S. and international trade laws, regulations, and reporting requirements.• Direct and support team members as well as external partners involved in cross-border shipping, logistics, and trade-related operations.• Advise business leaders and legal stakeholders on regulatory developments, risk areas, and compliance decisions affecting trade activities.• Work with internal departments to streamline processes, strengthen controls, and improve the effectiveness of import and export operations.• Design and deliver training initiatives that increase employee understanding of trade compliance responsibilities and regulatory expectations.• Manage licensing activities, classification considerations, and transaction reviews related to restricted destinations, sanctioned parties, and end-use requirements.• Conduct or support internal compliance assessments and audits, documenting findings and helping implement corrective actions where needed.
2026-09-30T00:00:00Z

Director of Regulatory Compliance

Chicago, IL
onsite
Temporary / Contract
49.476 - 57.288 USD / Hourly
We are looking for an experienced regulatory compliance leader to guide hospital-wide readiness efforts and strengthen alignment with applicable accreditation and regulatory standards. This Long-term Contract position will oversee compliance strategy, support survey preparedness, and partner with clinical and operational teams to address findings and sustain regulatory performance. The role is well suited for an individual who brings strong knowledge of Joint Commission expectations, state and federal healthcare regulations, and practical experience leading corrective action initiatives. Responsibilities: • Lead and support a regulatory compliance team, including oversight of two Regulatory Compliance Managers, while setting priorities and providing direction across key initiatives. • Drive enterprise-wide preparation for accreditation and regulatory reviews, including planning and execution of mock surveys, tracers, gap assessments, and staff education activities. • Serve as a senior resource on Joint Commission standards, hospital compliance obligations, and broader state and federal regulatory requirements affecting healthcare operations. • Coordinate interactions with external surveyors and regulatory representatives, ensuring organized communication, timely documentation, and effective issue follow-up throughout the review process. • Evaluate survey results and identified deficiencies, develop corrective action plans, and monitor progress to ensure responses are completed accurately and on schedule. • Partner with clinical, operational, and administrative leaders to resolve compliance concerns, implement lasting improvements, and reinforce continuous readiness. • Oversee the review and submission of organizational policies and procedures so documentation remains current, consistent, and aligned with regulatory expectations. • Support readiness efforts related to accreditation changes and evolving compliance requirements while maintaining focus on survey success and sustained adherence. • Contribute to regulatory reporting activities and compliance monitoring processes to help the organization maintain strong standing with oversight agencies.
2026-10-15T00:00:00Z

SEC Compliance Manager/Director

the Woodlands, 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.
2026-10-01T00:00:00Z

SEC Compliance Manager/Director

San Jose, CA
onsite
Permanent / Full Time
180000 - 200000 USD / Yearly
We are looking for an experienced SEC Compliance Manager/Director to lead external reporting and technical accounting activities for a growing organization in San Jose, California. This role is responsible for delivering accurate public company filings, overseeing complex accounting matters, and ensuring financial disclosures meet regulatory and audit standards. The ideal candidate brings deep knowledge of SEC reporting, strong judgment in U.S. GAAP application, and the ability to partner effectively across finance and executive stakeholders. Responsibilities: • Lead the preparation and review of periodic SEC filings, including Forms 10-K and 10-Q, with a focus on accuracy, completeness, and timeliness. • Oversee the development of financial statements, footnote disclosures, and supporting schedules to ensure compliance with applicable reporting requirements. • Manage technical accounting analyses for complex transactions, including lease accounting under ASC 842 and other emerging accounting matters. • Direct equity accounting activities and ensure related transactions are properly recorded, documented, and disclosed. • Coordinate closely with internal and external auditors to support quarterly and annual reviews, resolve issues, and maintain strong control over reporting deliverables. • Establish and maintain reporting processes that support compliance with Exchange Commission requirements and evolving accounting standards. • Partner with finance leadership and cross-functional teams to evaluate disclosure implications and improve the quality of external financial reporting. • Review reporting packages and documentation to confirm consistency between underlying records, financial statements, and narrative disclosures.
2026-10-28T00:00:00Z

Sr. HR & Compliance Consultant

Canandaigua, NY
onsite
Temporary / Contract
45 - 55 USD / Hourly
We are looking for an experienced Sr. HR & Compliance Consultant to support a manufacturing organization in Canandaigua, New York on a Contract basis. This role will provide senior-level guidance across employee relations, HR operations, compliance, compensation, and benefits while helping the business maintain effective people practices. The ideal candidate brings a strong command of HR administration and a practical approach to workforce planning, policy alignment, and organizational support. Responsibilities: • Advise leaders and employees on workplace concerns, conduct matters, and policy interpretation to promote fair and consistent employee relations practices. • Oversee day-to-day HR administration, including documentation, records management, and process coordination across core human resources functions. • Support benefits and compensation activities by reviewing programs, addressing employee questions, and helping maintain accurate and compliant administration. • Monitor HR policies and procedures to ensure alignment with employment regulations and internal compliance standards. • Partner with management to develop staffing approaches that support hiring needs, workforce planning, and overall business objectives. • Review HR practices for risk areas and recommend improvements that strengthen compliance, consistency, and operational effectiveness. • Prepare reports, maintain audit-ready documentation, and assist with HR-related reviews or investigations as needed.
2026-10-26T00:00:00Z

45 results for Compliance Specialist jobs