Add your latest resume to match with open positions.

18 results for Sox Compliance jobs

IT SOX Audit

Layton, FL
onsite
Temporary / Contract
0 - 0 USD / Yearly
IT SOX Audit Consultant (Remote)We are seeking an IT SOX Audit Consultant to support IT Sarbanes-Oxley (SOX) compliance efforts in a remote capacity. This individual will be responsible for testing IT SOX controls, documenting results, and supporting walkthroughs and control documentation updates as needed.The ideal candidate has 2–4 years of relevant experience and can work semi-independently in a SOX environment, demonstrating sound judgment and the ability to move work forward without step-by-step direction.Key Responsibilities<ul><li>Perform IT SOX control testing and clearly document testing results</li><li>Participate in process walkthroughs with stakeholders</li><li>Update Risk and Control Matrices (RCMs) and process flows when changes to systems, environments, or controls are identified</li><li>Assess and document control design and operating effectiveness</li><li>Review and evaluate audit evidence, drawing initial conclusions based on findings</li><li>Prepare clear, organized, and defensible workpapers</li><li>Ensure audit procedures are properly aligned to control objectives and conclusions</li></ul>
2026-05-15T00:00:00Z

SOX Internal Auditor

Bellevue, WA
onsite
Permanent / Full Time
110000 - 130000 USD / Yearly
We are looking for a SOX Internal Auditor to support compliance and internal control activities for a public company environment in Bellevue, Washington. This role works closely with finance, accounting, operations, and internal audit teams to help maintain an effective Sarbanes-Oxley program and deliver timely annual compliance results. The ideal candidate brings strong internal audit experience, sound judgment, and the ability to build productive partnerships across the business. Responsibilities:• Carry out SOX testing and related compliance procedures across assigned business units, legal entities, and operating locations while following established oversight and audit standards.• Contribute to the planning of annual SOX 404 activities by helping define scope, coordinate timelines, and support on-time completion of required testing and reporting.• Support the administration of SOX methodology and documentation practices to promote consistency, accuracy, and adherence to compliance expectations.• Partner with internal audit team members on selected engagements, including providing workpaper support and participating in audit activities when needed.• Perform follow-up and remediation validation for identified control issues to confirm corrective actions have been implemented effectively.• Help maintain the audit management system by organizing audit records, tracking progress, and supporting reporting needs.• Serve as a key resource for accounting and financial reporting process controls, helping strengthen governance over critical business activities.• Develop strong cross-functional relationships with stakeholders in finance, accounting, and operations to facilitate effective communication and execution of compliance efforts.• Participate in special projects designed to improve processes, strengthen controls, and deliver additional business value. The salary range for this position is $110,000 to $130,000. Benefits:Medical/Dental/VisionSTD/LTDLife and AD&D insurance401k with matchFully funded pension plan10 days PTO12 paid holidays
2026-05-19T00:00:00Z

Senior SOX Compliance Auditor

Oakland, CA
onsite
Permanent / Full Time
110000 - 120000 USD / Yearly
We are looking for an experienced Senior SOX Compliance Auditor to join a high-performing team in California. This role is ideal for an audit or accounting specialist who wants to deepen expertise in internal controls and financial compliance within a successful public company. You will work closely with experienced leadership and key stakeholders across the business while contributing to a well-structured compliance environment with strong opportunities for growth. Responsibilities:• Execute SOX 404 control assessments, including planning, walkthroughs, and testing• Evaluate control effectiveness and recommend process and risk improvements• Perform financial statement reviews and targeted audit procedures• Partner with external auditors and support their audit requirements• Contribute to ad‑hoc projects and special initiatives as needed• Stay current on accounting, auditing, and financial reporting standards
2026-05-27T00:00:00Z

Compliance Officer

North Conway, NH
remote
Permanent / Full Time
90000 - 130000 USD / Yearly
We are looking for an experienced Compliance Officer to strengthen and guide a company-wide compliance program in North Conway, New Hampshire. This role will work closely with leadership to support sound governance, reduce regulatory risk, and promote consistent adherence to applicable standards. The position is well suited for someone who is detail oriented and can turn complex compliance obligations into practical processes, policies, and business guidance. Responsibilities:• Direct and refine the organization’s overall compliance program to support effective governance and ongoing operational alignment.• Track changes in federal and state regulations, evaluate their impact, and help implement updates that maintain organizational compliance.• Coordinate internal reviews, external examinations, and corrective action plans to improve audit readiness and resolve identified issues.• Lead risk assessments that identify exposure areas and recommend practical measures to strengthen controls and reduce compliance risk.• Create and update policies, procedures, and related documentation so expectations are clearly defined across the organization.• Design and deliver compliance training initiatives that build employee awareness and reinforce accountability at all levels.• Prepare reporting and analysis for senior leaders on compliance trends, open issues, and risk-related priorities.• Serve as a trusted advisor to management by offering guidance on regulatory obligations, control effectiveness, and risk mitigation strategies.This is an excellent opportunity for a compliance professional who enjoys building strong governance programs, fostering a culture of accountability, and partnering across the business to support responsible growth.
2026-06-03T00:00:00Z

Compliance Analyst

Austin, TX
remote
Temporary / Contract
47.5 - 55 USD / Hourly
We are looking for an experienced Compliance Analyst to join our team. This long-term contract position focuses on maintaining regulatory compliance within Non-QM mortgage operations, with a primary emphasis on loan origination and servicing. The ideal candidate will possess a strong understanding of mortgage-backed securities, contract reviews, and vendor management, while leveraging technology to streamline compliance processes. Responsibilities:• Ensure compliance across all Non-QM mortgage origination and servicing activities.• Conduct reviews of defaulted loans and lender-owned properties to verify regulatory adherence.• Facilitate broker approval processes and oversee ongoing compliance monitoring.• Provide support for compliance matters related to loan securitization and secondary market operations.• Analyze and review contracts, offering guidance on compliance terms and risk exposure.• Collaborate with internal teams and external vendors to uphold regulatory standards.• Maintain thorough documentation and reporting to ensure audit readiness.• Utilize technology and systems to improve compliance workflows and efficiency.• Monitor changes in regulations to proactively update compliance policies.
2026-06-02T00:00:00Z

Compliance Manager

Sunnyvale, CA
onsite
Permanent / Full Time
80000 - 120000 USD / Yearly
We are looking for an experienced Compliance Manager to lead regulatory oversight and support responsible business operations in Sunnyvale, California. This role focuses on export control compliance, documentation accuracy, and alignment with applicable safety and regulatory standards. The ideal candidate will bring strong knowledge of technical data controls, licensing processes, and policy implementation in a regulated environment. Responsibilities: • Oversee day-to-day compliance activities related to export controls, regulated documentation, and applicable operational standards. • Prepare, review, and maintain records to support accurate handling of export and import documentation requirements. • Manage submissions for license applications and track approvals to help ensure timely regulatory authorization. • Interpret and apply relevant organizational, domestic, and international compliance requirements affecting technical data and controlled information. • Partner with internal stakeholders to strengthen policies, procedures, and controls that support legal and regulatory adherence. • Monitor compliance risks, investigate potential issues, and recommend corrective actions to maintain program effectiveness. • Support audits, assessments, and reporting activities by organizing documentation and responding to compliance-related inquiries.
2026-05-29T00:00:00Z

Compliance Manager

Maryknoll, NY
onsite
Permanent / Full Time
95000 - 108000 USD / Yearly
FULLY ON-SITE IN WESTCHESTER COUNTY AREAA highly respected, mission-driven organization is seeking an experienced Compliance Manager to lead its enterprise-wide compliance and privacy function across domestic and international operations.This is a unique opportunity for a compliance professional who is passionate about building and strengthening programs that protect sensitive information, promote ethical operations, and ensure adherence to complex regulatory requirements. The person in this role will serve as the organization’s primary leader for compliance, privacy, auditing, monitoring, breach response, policy development, and workforce education. Reporting to senior leadership, the Compliance Manager will play a critical role in shaping and advancing a culture of integrity, accountability, and confidentiality across a diverse organization. Key Responsibilities:<ul><li>Lead and oversee the organization’s compliance and privacy program across multiple U.S. locations and international operations</li><li>Serve as the primary point of contact for compliance and privacy matters</li><li>Develop, implement, and maintain policies, procedures, and controls related to compliance and data privacy</li><li>Ensure compliance with GDPR, HIPAA, applicable state privacy regulations, and recognized compliance program standards</li><li>Oversee internal auditing, monitoring, investigations, and regulatory reporting</li><li>Manage breach response protocols and support incident review and remediation efforts</li><li>Maintain privacy practices, workforce training, and education initiatives</li><li>Advise leadership on compliance risks, regulatory developments, and best practices</li><li>Promote adherence to the organization’s code of conduct and ethical standards</li><li>Assess data flows, information access, and protections related to sensitive and regulated information, including PHI</li></ul>
2026-05-07T00:00:00Z

Compliance Manager

Southfield, MI
onsite
Permanent / Full Time
70000 - 90000 USD / Yearly
We are looking for a Compliance Manager to oversee compliance programs and strengthen policy adherence for an organization based in Southfield, Michigan. This role will guide regulatory practices, support grant-related oversight, and help ensure privacy standards are consistently maintained across operations. The ideal candidate brings strong judgment, experience working with structured compliance environments, and the ability to communicate effectively with leadership and governing bodies. Responsibilities: • Lead the development, implementation, and ongoing evaluation of compliance policies, procedures, and internal controls. • Monitor regulatory obligations and organizational standards to identify risks and recommend practical corrective actions. • Oversee grant administration activities to help ensure accurate documentation, allowable use of funds, and timely reporting. • Review privacy practices and related policies to support confidentiality, data protection, and regulatory alignment. • Prepare clear compliance updates, summaries, and recommendations for executive leadership and board-level presentations. • Partner with internal teams to improve compliance awareness, strengthen accountability, and resolve policy-related issues. • Maintain records, tracking tools, and reporting materials using Microsoft Excel and other business applications. • Support audits, reviews, and investigations by gathering documentation, analyzing findings, and coordinating follow-up actions.
2026-05-19T00:00:00Z

Sr. Compliance Analyst

Hartford, CT
onsite
Temporary / Contract
57 - 66 USD / Hourly
We are looking for a Sr. Compliance Analyst to support record governance and compliance activities. This role focuses on evaluating how physical and archived records are maintained, defining retention needs across business processes, and helping teams apply consistent documentation standards. The ideal candidate will work closely with project managers, technical partners, and operational stakeholders to strengthen recordkeeping practices, assess compliance status, and promote policy awareness through clear communication and training. Responsibilities:• Review hard-copy, archived, and operational records to identify retention obligations and documentation gaps.• Partner with business teams to map recordkeeping needs for processes such as HR onboarding and define what information must be preserved.• Assess multiple systems of record to determine whether current practices align with applicable compliance and retention requirements.• Gather and organize compliance-related data for audits, reporting, and policy validation activities.• Collaborate with project managers and digital or technical teams to develop effective approaches for storing and retaining records.• Support initiatives to update retention policies, procedures, and related documentation across departments.• Communicate policy updates to impacted groups and help deliver training that improves understanding of record retention expectations.• Document findings, requirements, and recommendations to support ongoing compliance oversight and process improvement.
2026-06-03T00:00:00Z

Sr. Compliance Analyst

Menlo Park, CA
remote
Temporary / Contract
47.5 - 55 USD / Hourly
We are looking for an experienced Sr. Compliance Analyst to join our team for this remote role. This long-term contract position offers the opportunity to oversee critical policy exception management processes and contribute to maintaining robust security and compliance standards. The ideal candidate will bring strong analytical skills and a deep understanding of risk management, cybersecurity policies, and regulatory compliance frameworks. Responsibilities:• Manage the documentation, tracking, and approval process for policy exceptions, ensuring compliance with established governance frameworks.• Collaborate with stakeholders to evaluate risks associated with policy exceptions and develop mitigation strategies.• Maintain detailed records of policy exceptions and oversee their timely remediation or escalation.• Conduct thorough analyses of security controls to ensure they align with compliance standards.• Support organizational compliance initiatives by identifying gaps and proposing actionable solutions.• Contribute to risk reporting processes, providing accurate and insightful data to inform decision-making.• Perform risk assessments to identify vulnerabilities and recommend improvements to governance practices.• Assist in the implementation and monitoring of cybersecurity policies to enhance overall security posture.• Partner with IT teams to ensure alignment between governance frameworks and technical security measures.• Provide expertise in compliance risk and conduct training sessions to enhance awareness across the organization.for this Full
2026-05-12T00:00:00Z

Senior SOX Analyst

Chicago, IL
onsite
Permanent / Full Time
90000 - 100000 USD / Yearly
The salary range for this position is $90,000-100,000 plus bonus, 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]. Fast-Track Career Advancement Opportunity (This position is expected to advance quickly within the company over the next few months.) ResponsibilitiesSOX Compliance & Internal Controls<ul><li>Support the design, implementation, and monitoring of internal controls over financial reporting (ICFR) in compliance with Sarbanes-Oxley (SOX) requirements.</li><li>Perform risk assessments and control assessments to evaluate the implementation and effectiveness of internal controls.</li><li>Collaborate with international accounting teams to ensure consistent application of control standards and resolve discrepancies.</li><li>Assist in the preparation and review of SOX documentation, including process narratives, flowcharts, and control matrices.</li><li>Benchmark control practices against industry best practices standards.</li><li>Support internal and external audit requests related to SOX compliance.</li><li>Support control deficiency remediation efforts.</li></ul>Process Improvement & Integration<ul><li>Support SOX implementation for newly acquired entities into the internal control framework, including controls design and implementation.</li><li>Establish and document scalable control processes and procedures.</li><li>Partner cross-functionally to streamline compliance processes and reduce audit timelines.</li><li>Benchmark existing control practices against industry best practices and support </li></ul>
2026-05-07T00:00:00Z

Compliance Consultant - Exchange Surveillance

New York, NY
onsite
Temporary / Contract
50 - 60 USD / Hourly
Our client is seeking a market regulation and compliance consultant with approximately 5 years of experience to support the CCO of their upcoming cryptocurrency derivatives exchange. This exchange operates as a CFTC-regulated platform (DCM/DCO) utilizing advanced transaction monitoring systems. You will act as the frontline defense in clearing trade alerts, monitoring market integrity, and collaborating directly with the NFA’s Market Regulation department on T+1 surveillance data. This role will be onsite 3 days a week in Manhattan. Key Responsibilities<ul><li>Alert Clearing & T+1 Monitoring: Manage real-time and T+1 market surveillance alerts; investigate, document, and clear or escalate suspicious activity.</li><li>Regulatory Collaboration: Interface directly with the NFA Market Regulation department to coordinate trade surveillance data, review audits, and manage regulatory loops.</li><li>DCM/DCO Compliance: Support the CCO in ensuring the exchange continuously adheres to CFTC Core Principles governing designated contract markets and clearing organizations.</li></ul>
2026-06-01T00:00:00Z

Sr. Manager of IT Compliance

Eatontown, NJ
onsite
Permanent / Full Time
170000 - 275000 USD / Yearly
We are looking for a Senior Manager of IT Compliance to lead our organization's compliance, governance, and risk management programs in Monmouth County, NJ. This role is pivotal in ensuring our technology systems, processes, and controls adhere to regulatory requirements, industry standards, and internal policies. The position collaborates with cybersecurity, legal, audit, and business teams to maintain a robust compliance posture and support organizational goals in a dynamic enterprise environment. Responsibilities:• Develop, implement, and continuously refine the IT compliance framework to align with organizational objectives.• Ensure adherence to regulatory requirements and industry standards, such as ISO 27001, SOC 2, and other relevant frameworks.• Maintain and update IT policies, standards, and procedures to reflect current compliance needs.• Conduct IT risk assessments, evaluate controls, and implement mitigation strategies to address identified gaps.• Manage the enterprise IT risk register, including tracking risk ownership and remediation progress.• Act as the primary liaison for internal and external audits, coordinating responses, evidence collection, and remediation efforts.• Oversee the implementation and monitoring of IT general controls (ITGCs) and automated compliance controls.• Collaborate with third-party vendors to ensure compliance with security and regulatory requirements, including due diligence and ongoing assessments.• Track and evaluate regulatory changes to assess their impact on the organization's compliance posture.• Develop dashboards and metrics to measure compliance effectiveness and overall risk posture.
2026-05-14T00:00:00Z

Compliance Coordinator

Cedar Rapids, IA
onsite
Temporary / Contract
19 - 21 USD / Hourly
Compliance CoordinatorCedar Rapids, IA | Contract Opportunity We are seeking a highly detail-oriented Compliance Coordinator for a contract opportunity in Cedar Rapids. This role plays a key part in supporting regulatory and internal compliance efforts by ensuring documentation accuracy, maintaining organized records, and leveraging spreadsheets to track critical data.If you thrive in a process-driven environment and take pride in accuracy and organization, this is a great opportunity to make an immediate impact. Key Responsibilities:<ul><li>Review, maintain, and manage compliance-related documentation to ensure accuracy and completeness</li><li>Track and update data within spreadsheets and internal systems, ensuring consistency across records</li><li>Assist with audits by gathering, organizing, and validating required documentation</li><li>Identify discrepancies or missing information and follow up to resolve issues in a timely manner</li><li>Support compliance initiatives by adhering to established procedures and guidelines</li><li>Collaborate with internal teams to ensure proper documentation flow and process alignment</li><li>Maintain confidentiality and handle sensitive information with a high level of professionalism</li></ul>
2026-05-29T00:00:00Z

Regulatory Compliance Specialist

Easton, PA
onsite
Permanent / Full Time
70000 - 80000 USD / Yearly
We are looking for a Regulatory Compliance Specialist to support labeling accuracy, packaging compliance, and product data integrity for food products in Easton, Pennsylvania. This role works closely with research and development, quality, suppliers, and external partners to help ensure products meet applicable regulatory standards before launch. The ideal candidate brings strong experience in food regulatory compliance, documentation review, and cross-functional coordination across certifications, audits, and commercialization activities. Responsibilities: • Review packaging content, product claims, and case label details in partnership with cross-functional teams to confirm regulatory alignment. • Verify nutrition panels, ingredient declarations, and required regulatory language for accuracy prior to release. • Coordinate label approval workflows with internal stakeholders and external contacts to support compliance across multiple markets. • Assess customer-specific compliance expectations and provide regulatory guidance for retailer or program requirements. • Perform detailed product compliance evaluations by comparing formulation data, theoretical labeling information, and analytical results. • Prepare, configure, and confirm production case label information to support accurate manufacturing execution. • Contribute regulatory input during product development, packaging updates, and pre-commercialization review activities. • Support compliance oversight for co-packers, third-party logistics providers, and external manufacturing partners while aligning with supplier and quality standards. • Manage certification records and help organize audit preparation, site walkthroughs, and related documentation with quality teams.
2026-05-11T00:00:00Z

Compliance Analyst (Tax/Audit/Accounting)

Washington, DC
onsite
Permanent / Full Time
120000 - 140000 USD / Yearly
The Compliance Analyst/Lead is a senior accounting professional responsible for overseeing tax, regulatory, and financial compliance across a multi-entity organization. This role supports accounting, audit, and financial management functions while ensuring adherence to U.S. GAAP and evolving federal, state, and local regulations. The ideal candidate is a hands-on CPA who thrives in a fast-paced environment, manages multiple priorities, and drives continuous process improvement. Key Responsibilities<ul><li>Lead preparation, review, and filing of complex regulatory and tax filings, including LM-2, IRS Form 990, sales and use tax, partnership returns, and local regulatory submissions.</li><li>Manage audit preparation and serve as a key liaison with external auditors.</li><li>Analyze financial statements, benefit plan structures, financial systems, and business practices.</li><li>Monitor emerging accounting and regulatory developments and implement required actions.</li><li>Support month-end close activities, including journal entries, reconciliations, and accruals, as needed.</li><li>Recommend and implement improvements to financial processes, controls, and systems.</li><li>Promote accountability, accuracy, and timeliness in financial reporting across stakeholders.</li></ul>
2026-05-08T00:00:00Z

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.
2026-05-22T00:00:00Z

Compliance Analyst (Advanced)

Tampa, FL
onsite
Temporary / Contract
41 - 41 USD / Hourly
This role is responsible for coordinating and completing government regulatory and compliance documentation across multiple business units. The Compliance Analyst will support the organization in maintaining adherence to applicable regulations, policies, and procedures while ensuring documentation is accurate, timely, and audit-ready. Key Responsibilities:<ul><li>Prepare, review, and manage regulatory and compliance documentation</li><li>Support compliance efforts across various business units to ensure alignment with internal policies and external regulations</li><li>Apply standard compliance concepts, practices, and procedures to daily work</li><li>Identify areas for process improvement and support implementation of solutions</li><li>Perform a range of compliance-related tasks, including documentation, reporting, and audit support</li><li>Collaborate cross-functionally and communicate effectively with internal stakeholders</li><li>May provide guidance or direction to junior team members as needed</li></ul>Additional Details:<ul><li>This role requires strong attention to detail, sound judgment, and the ability to manage multiple priorities</li><li>A degree of independence and problem-solving is expected, with opportunities to contribute ideas and improvements</li><li>The position typically reports to a supervisor or manager</li></ul>
2026-05-28T00:00:00Z