Top Compliance Jobs in San Francisco Bay Area, CA

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

Lead and advise on compliance for vendor management, information security, data sharing, and vendor oversight. Build and improve policies, publish guidance, lead remediation, coordinate cross-functional teams, and support compliance for lending, funding, and card products.

Build and operate Column's digital assets compliance program for stablecoin and crypto payment products: operate AML/BSA monitoring, sanctions screening, blockchain analytics, investigations, policy and procedure development, product advisement, metrics reporting, and training. Partner with engineering, product, and bank compliance to translate regulatory requirements into technical controls and ensure integration with the Bank's AML framework.

Lead and manage the enterprise SOX control framework: scope, risk assessment, control design, documentation, testing, deficiency remediation, and auditor liaison. Partner cross-functionally to embed controls in transformations and drive automation and efficiency across the program.

Lead enterprise Compliance Testing and Monitoring for consumer lending, designing risk‑based test plans, automated testing solutions, and monitoring frameworks; oversee execution, issue tracking, remediation, regulatory readiness, and executive/Board reporting while managing a team of compliance professionals.

Ensure Tilt's products, processes, and customer interactions comply with regulations. Manage complaints, perform UDAAP risk mapping and state regulatory research, test AI chatbot workflows, support audits, and drive process improvements through automation and data analysis.

Lead development and oversight of the bank's Compliance Management System. Drive policy creation, regulatory exam management, metrics and MIS reporting, technology initiatives, remediation of gaps from audits/exams, stakeholder reporting, and manage regulator and internal audit requests to ensure deposit, lending, privacy, and consumer compliance.

Implement investment policy controls in Bloomberg AIM and manage the full trading compliance lifecycle for ETFs, including pre- and post-trade monitoring, exception documentation, issue identification, and stakeholder communication. Support portfolio oversight, use compliance systems and analytics tools, and streamline processes with AI tools while ensuring adherence to ETF disclosure documents and regulatory requirements.

Design, implement, and lead a risk-based BSA/AML and sanctions compliance program; serve as board-appointed BSA and OFAC officer; own KYC/KYB, transaction monitoring, SAR reporting, cross-border controls, regulatory and bank engagement, vendor selection, licensing strategy, team building, and embed compliance across product and engineering.

Oversee the bank's complaints compliance program: review and approve complaint responses, liaise with regulators, open and document cases in a GRC tool, perform root cause and trend analysis, produce regulatory reporting, develop processes and job aids, coach analysts, and support compliance projects and audits.

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

Execute risk-based compliance monitoring and testing to validate bank adherence to laws and regulations. Develop workpapers, report findings with root-cause analysis, verify remediation, perform complaint and data analytics, use social media listening and AI tools for marketing compliance, and support annual risk assessments while maintaining stakeholder relationships.

Lead government accounting operations, ensuring compliance with regulations, managing a remote team of accountants, and optimizing processes for operational efficiency.

Perform onboarding and ongoing compliance oversight for Registered Investment Advisor (RIA) representatives, including U4/U5 and ADV 2B filings, monitoring Outside Business Activities, compliance testing, regulatory research, responding to inquiries, and coordinating with internal stakeholders to mitigate compliance risks.

Lead IT assurance, risk, and SOX compliance efforts by assessing controls, partnering with business and technology teams, and modernizing testing through automation, analytics, and AI. Provide advisory reviews, improve control design, and drive scalable compliance solutions while collaborating with auditors and stakeholders.

Evaluate fraud concerns, resolve payment exceptions, and manage bank reconciliations. Communicate with security holders and banking partners, prepare reconciliation and reporting, process transfers, and identify process improvements. Support deal-driven schedules, occasionally working evenings or weekends.

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.

Manage and support the U.S. compliance program, focusing on BSA/AML, consumer compliance (Reg E, UDAAP), audits, regulatory remediation, policy maintenance, due diligence, and cross-functional coordination with regulators and stakeholders.

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

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.

Lead a Consumer compliance advisory function, providing regulatory subject-matter expertise (TILA, RESPA, FCRA, FDCPA, etc.), managing advisors and the Privacy Office, partnering with business leadership to identify, prioritize, and mitigate compliance risks, and advising on new products and regulatory developments.

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.

Manage issuance and reconciliation of monthly rental subsidy payments across programs, perform data audits and entry, correct enrollment errors, coordinate with finance and city partners, and resolve compliance and billing issues.