Top Compliance Jobs in Boston, MA

Monitor real-time and historical derivatives trading to detect market abuse, investigate flagged transactions, prepare investigative reports, ensure regulatory compliance, support KYC/AML enforcement, and collaborate with Legal, Risk, and Technology to improve surveillance protocols.

Support compliance monitoring, testing, and branch audits for acquired firms during integration. Conduct risk assessments, audits, and branch exams; identify trends, document workpapers, track remediation action plans, assist policy development, and report to Compliance leadership while staying current on regulatory developments.

Design, implement, and administer the firm's enhanced-risk monitoring and supervision framework for clients, employees, advisors, and business practices. Develop risk-scoring and high-risk criteria, oversee enhanced due diligence, manage heightened supervision plans, perform risk assessments, produce dashboards and reports, and support regulatory readiness and audit documentation.

Provide independent compliance oversight for Treasury operations: assess controls, perform risk and control reviews, monitor user entitlements and fraud prevention, handle operational compliance tasks (positive pay, statutory deposits, check requests), prepare compliance reporting, recommend process improvements, and support remediation, audits, and governance across Treasury and partner teams.

The Compliance Officer ensures adherence to regulatory standards through inspections, training, policy updates, and investigations, requiring strong analytical skills and clear communication.

Manage state regulatory and statutory filings, research and interpret insurance regulations, collaborate with Finance/Actuarial/Data/IT, write and maintain SQL/BigQuery queries, perform reconciliations and data quality checks, document procedures and controls, and drive process improvements and automation for audit-ready compliance reporting.

Submit and manage state notice filings for mutual funds and investment products using BSS; perform renewals, amendments and special filings under manager supervision; maintain fund files, liaise with state examiners, ensure compliance with policies, and participate in electronic filing testing and process improvements.

The role involves managing payment network compliance for sponsored clients, handling merchant registrations, guiding stakeholders on compliance rules, and improving workflows.

Lead and manage multi-state money transmitter licensing, regulatory reporting, and examination support across the U.S.; coordinate regulator communications, filing calendars, and licensing strategy; support product and geographic expansion; oversee remediation, external counsel, and mentor licensing staff.

Lead and manage multi-state money transmitter licensing, regulatory reporting, and exam coordination. Own filings, regulator communications, licensing inventories, change-of-control matters, and licensing support for product and geographic expansion. Monitor regulatory developments, coordinate external counsel, and manage/mentor licensing personnel.

Execute internal audits and SOX engagements across the global organization. Assess design and operating effectiveness of controls, identify findings and remediation plans, perform walkthroughs, review third-party arrangements, and support external audits and ad-hoc assignments.

Owner of fraud, collections, and back-office compliance for Mission Lane's credit card business. Serve as embedded compliance authority, manage escalations, run testing and monitoring of controls, identify gaps, provide regulatory guidance, partner with business and Legal, and support program strategy and exam readiness.

Own and govern the enterprise AML/CFT and financial crimes training program: design role-based curriculum, align content to regulatory requirements and risk assessments, manage LMS and third-party vendors, monitor KPIs/KRIs, support audits and regulatory exams, drive onboarding and continuous learning, and report remediation and training effectiveness to senior leadership.

Support portfolio compliance team with daily pre- and post-trade monitoring, rule coding and testing in Charles River, UCITS breach review, client onboarding, incident and client reporting, and compliance rule library migrations under supervision.

Design, implement, and optimize AI-powered solutions to support financial compliance and controls. Monitor GAAP/IFRS adherence, automate controls and reporting, support internal/external audits, and manage complex accounting areas like revenue recognition and lease accounting while collaborating with finance, audit, and technology teams.

Review retail advertising and marketing communications for compliance with firm policy, FINRA and SEC rules; document and retain records; explain required changes to submitters; research policy questions; maintain internal compliance materials; follow vendor workflows; assist team members and meet service-level timeframes.

Own lifecycle management of multi-state mortgage and consumer lending licenses, lead state regulatory exam responses and remediation, prepare and submit required state filings and Mortgage Call Reports, coordinate cross-functional data reconciliation for regulatory reporting, and manage licensing and corporate notifications.

As a Crypto Compliance AML Analyst, you will monitor and investigate AML and fraud across crypto transactions, ensuring regulatory compliance while improving systems and processes.

Manage the compliance risk program for mortgage lending by developing policies, ensuring adherence to laws, and conducting risk assessments.

Design and execute test scenarios for payroll tax compliance changes, validate tax calculations and outputs, document test results, manage defect lifecycle, collaborate with Compliance and Development to resolve issues, maintain test documentation and scenario libraries, and contribute to testing process improvements.

The Senior Vice President of Compliance & Control will develop investment adviser compliance programs, ensuring adherence to regulations, managing risk assessments, and supporting regulatory inquiries.

Lead month-end close and build government cost accounting and compliance infrastructure. Design cost allocation, indirect rates, audit-ready reporting, controls, policies, and support government/DCAA audits while partnering cross-functionally to scale finance operations.

Reviews and advises on marketing and distribution materials for regulatory compliance, conducts testing and surveillance, responds to compliance inquiries and RFPs, prepares documentation for exams and due diligence, and supports process improvements and special projects within the Compliance team.

The Treasury & Compliance Manager ensures accurate execution of capital movements and regulatory compliance across funds, overseeing cash operations, regulatory filings, and risk management processes.

Lead design and implementation of a financial compliance program (COSO/AICPA), perform risk assessments, document processes and controls, execute periodic testing and remediation, manage deficiency tracking, coordinate with external auditors, and report control status to the CFO and executive leadership.