Top Compliance Jobs in San Francisco Bay Area, CA

Lead international tax advisory and compliance for financial services clients, managing projects, supervising teams, and delivering tax-efficient global structuring solutions. Analyze complex cross-border tax issues, uphold professional standards, drive automation initiatives, mentor staff, and cultivate client relationships to identify service enhancements and manage multiple engagements.

The Control Room Senior Associate maintains JPMorgan Chase’s information barriers and monitors information flows between private- and public-side businesses. Responsibilities include managing Watch and Restricted lists, reviewing research publications, chaperoning covered communications, advising front-office teams on restrictions and permissible interactions, interpreting Control Room policies, and delivering compliance training. The role partners with Banking, Sales and Trading, Asset Management, senior leaders, and global stakeholders.

Manage and execute the RIA and BD compliance program: registration and filings, surveillance, testing, advertising review, training, electronic communications monitoring, vendor due diligence, AI governance, exam readiness, and day-to-day program operations supporting SEC and FINRA requirements.

Lead and enhance Circle's IT SOX compliance program by evaluating ITGCs, automated and IT-dependent controls, documenting SOX-ready materials, coordinating testing and remediations, liaising with IT, Security, Finance and auditors, and driving control design for system implementations and new product launches.

Lead and continuously improve the companys SOX 404 program: design strategy, risk assessment, scoping, testing, and remediation. Partner with Finance, IT, Legal, and business owners to document controls, manage external audits, drive automation and ERP/GRC integrations, report to executives and Audit Committee, and establish policies, training, and a scalable SOX team.

The Senior Wealth Advisor manages client relationships, delivers wealth management services, and supports growth through referrals and marketing, all in a remote, independent capacity.

Lead risk and compliance activities for a high-risk banking environment: prepare for audits and regulatory exams, draft policies and governance, evaluate internal controls, run risk assessments and gap analyses, maintain training, monitor regulatory changes, and produce KRI/KPI Board-level reporting.

Manage tax planning, compliance, and reporting across a multi-entity organization. Serve as primary tax authority, coordinate with external advisors, oversee partnership and indirect tax compliance, maintain filing calendar, handle information reporting (1099/1042), support international tax matters, liaise with government authorities, and improve tax processes and controls.

The Fund Controller manages fund accounting accuracy and consistency, collaborates with teams, and oversees compliance and audit partnerships.

Support design, implementation, and operation of Affirm Bank's BSA/AML and compliance technology. Build and test transaction-monitoring rules, case-management workflows, dashboards, and controls; analyze alerts and control performance; maintain documentation; coordinate across Compliance, Product, Engineering, Data, and vendors to ensure audit-ready, scalable compliance systems.

Lead SOX compliance and internal audit activities: document and assess controls, design and execute tests, manage remediation, support SOX in projects, plan and perform risk-based audits, prepare reports with recommendations, and follow up on management action plans.

Lead enterprise-wide compliance and financial-crime risk assessments, evaluate controls and residual risk, produce executive reports, partner with MLROs/CCOs globally, drive transaction monitoring and customer risk scoring coverage, update geographic risk ratings, develop threat assessment frameworks, and pioneer AI-powered automation while maintaining human oversight.

Own end-to-end compliance reviews for product launches, changes, marketing initiatives, and emerging regulatory issues. Apply lending and payments regulations to product design, disclosures, fees, and customer journeys. Operate and improve AI-assisted compliance workflows, monitoring, and risk assessment tools; conduct product risk assessments; drive remediation with Product and Engineering; coordinate bank partner approvals; and create reusable standards and documentation. This senior individual contributor role also informally mentors junior reviewers without direct management responsibility.

Execute end-to-end risk-based operational and compliance audits (scoping, testing, reporting, remediation validation). Identify control gaps, perform root cause analysis, draft actionable recommendations, manage audit requests and stakeholders, validate remediation, and partner with Operations, Compliance, Risk, Finance, and Legal while maintaining third-line independence.

Owns Poshmark’s US BSA/AML and financial crimes compliance program, including policy governance, risk assessments, sanctions controls, SAR oversight, audit and regulatory exam readiness, executive reporting, training, vendor governance, and operational quality. Partners with Product, Engineering, Operations, Legal, Finance, Risk Strategy, banking partners, auditors, and regulators to translate requirements into controls, workflows, and scalable compliance processes.

The Director of Prime Trading will manage client relationships, oversee daily trading operations, analyze risk and margin activities, and coordinate trading support. The role requires strong market awareness and effective communication within teams.

The Lead Compliance Auditor will perform complex audits, mentor team members, and innovate auditing methods while ensuring compliance with regulations.

Own Anthropic’s global income tax provision and US income tax compliance functions, including ASC 740 close, deferred taxes, uncertain tax positions, disclosures, SOX controls, audits, and Big 4 co-sourced compliance. Lead tax planning and analysis for M&A, infrastructure leases, financing structures, joint ventures, and acquisitions. Drive automation, technical memo preparation, cash tax forecasting, advisor management, and development of the tax team.

Own and build Relay’s end-to-end fintech compliance program covering AML, sanctions, KYB/CDD, regulatory change, monitoring, testing, investigations, and sponsor-bank relationships. Establish evidence-driven controls, automate operations with AI, support product launches, manage exams and audits, report to leadership and the board, and hire and develop the compliance team.

Conducts employee expense report audits, identifies compliance issues and fraud indicators, maintains internal control documentation and process maps, assesses control gaps, and supports internal and external audits. The role applies COSO, HIPAA, CMS, IRS, and internal control best practices while communicating findings and remediation recommendations to finance leadership and operational stakeholders.

Support and enhance enterprise compliance programs by monitoring escalations, researching regulations, performing control testing and data analysis, preparing management and regulatory reporting, managing investigations and regulatory responses, and collaborating with multiple lines of business to implement improvements.

Supports financial investigations, litigation support, forensic accounting, compliance assessments, fraud risk evaluations, asset tracing, and internal investigations. Conducts interviews, analyzes financial records, tests internal controls, prepares client reports and presentations, performs quality control, and manages project priorities. The role also provides oversight to junior staff, supports client relationships and business development, and collaborates with investigative teams across Kroll’s offices.

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.

The job description provides limited responsibility details for a Compliance Program Analyst role. The position requires U.S. citizenship or naturalized citizenship, and all work must be performed within the continental United States, Alaska, or Hawaii. The listed annual compensation range is $90,000 to $110,000.

Lead and manage a compliance assurance team to build and run a compliance management system. Develop and execute monitoring, testing, risk assessments, reporting, root cause analysis, and provide regulatory guidance across core bank and fintech partners. Support audits, examinations, and present findings to senior leadership and the Board.