Top Compliance Jobs in San Francisco Bay Area, CA

Lead and manage complex financial investigations, forensic accounting, and regulatory compliance engagements. Oversee case teams, conduct investigative interviews and internal control testing, write client-facing reports, manage client relationships, and drive business development while ensuring high standards of case delivery and team development.

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.

Coordinate and support investment-adviser and ERISA compliance programs, perform SEC filings (13H/13F), review GIPS and sales literature, assist Advisory Solutions compliance operations, document SOPs, drive process improvements, and use data analytics and AI tools to identify compliance risks and support reporting and control testing.

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.

Review and approve high-volume marketing and investor-facing content for SEC Marketing Rule compliance; conduct vendor due diligence and AI governance oversight; support books-and-records, testing, monitoring, and compliance program documentation; partner with stakeholders on training, disclosures, and remediation; manage compliance-related vendor relationships and projects.

Manage a portfolio of self-employed clients: prepare, review, sign, and file federal and state tax returns (1040, 1120-S); mentor and train junior tax staff; research and interpret tax laws; produce technical memos and compliance reports; collaborate cross-functionally and maintain knowledge of multi-state tax matters.

Serve as the payroll compliance subject-matter expert for assigned jurisdictions. Interpret payroll, tax, social security, labour, and employment legislation; translate requirements into product and operational solutions; advise stakeholders; conduct compliance assessments and audits; build scalable compliance frameworks, rules libraries, and automation; and train and mentor cross-functional teams to ensure compliant payroll products at scale.

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

Senior leader responsible for global tax reporting, ASC 740 accounting, compliance governance, and tax operating model transformation. Partners with Finance, Legal, Treasury and auditors to ensure accurate tax provision reporting, SOX controls, automation and AI adoption, and scalable processes across jurisdictions while leading a global tax team.

Serve as the RIA compliance subject matter expert partnering with business teams to review marketing, product, and member communications; manage IAR registrations, OBAs, ADV filings; build policies and procedures; handle member compliance issues; and support governance of proprietary and AI-driven tools.

Join Arootah's advisor network to provide fractional Chief Compliance Officer–level, project-based compliance leadership for hedge funds, private equity firms, and family offices. Advise on SEC/regulatory matters, design and improve compliance programs, conduct reviews and risk assessments, support exams and due diligence, and partner with leadership to strengthen governance and controls.