587 Compliance Officer jobs in the United States

• Bachelors Degree
• CRCM and/or CAMS preferred
• 7 to 10 years experience in banking with 3 to 5 years of compliance experience
• Strong computer skills: Advanced skill level in Microsoft Excel; Experience with Microsoft Word and PowerPoint. Experience with industry-related systems/software
• Strong data analysis skills
• Knowledgeable of compliance laws, rules, and regulations including consumer protection regulations, TRID-RESPA, UDAAP, FCRA, HMDA, etc. Thorough knowledge of the Bank Secrecy Act, CRA, and any other regulations is required.

• The Compliance Officer is responsible for maintaining current knowledge of BSA, AML, and OFAC regulations and all bank-related compliance regulations. This person will also use monitoring application systems, maintain investigation files, and conduct periodic assessments of the departments for compliance. Prepare BSA/AML Risk Assessment by identifying the risk profile of the Bank and analyzing the information to better assess the risks identified and mitigate any gaps in control
• Oversee the preparation, research, and filing of SARs and CTRs
• This position will serve on the Compliance Committee and the IT Steering Committee
• Assign and monitor annual BSA training and all other compliance training to Board and Employees
• Meet and discuss with Examiners and Auditors regarding the BSA program and compliance
• Review all projects for BSA and compliance-related issues
• Responsible for monitoring the effectiveness of the Identity Theft Program and providing updates to the Board of Directors
• This position is responsible for monitoring all bank regulations and creating/changing policies and/or procedures for new or updated regulations
• Will be responsible for monitoring/changes of all disclosures for compliance with Federal and State regulations. Reviews product and service disclosures and advertising materials for compliance with applicable rules
• Conduct due diligence on new MSB applications, and establish and direct ongoing monitoring activities for those MSBs based upon risk

About Us:

Diversify Advisor Network is the future of wealth management. Founded by seasoned advisors and industry leaders, Diversify has developed institutional-grade resources, complemented by the personal attention and support that defines a true partnership.

We strive to cultivate a family-like culture, an institutional platform and an immersive experience that enables advisors and wealth management firms to differentiate themselves, retain their entrepreneurial autonomy, and, most importantly, protect and serve clients effectively.

Learn more about us at

About the Position:

This position plays a pivotal role on our compliance team, and we are looking for a qualified individual with experience in supervision and/or investment advisory compliance. This is a fast-paced role that requires absolute attention to detail and critical thinking skills to evaluate and resolve complex issues. This position offers significant opportunities for career development and growth within the company. This is a full-time, in-office role located in our headquarters in Sandy, Utah.

Your Impact:

• You are a solutions-oriented professional that builds strong working relationships with the advisors and business partners.
• You possess exceptional communication skills that emphasize finding solutions even in difficult situations.
• You are an initiative-taker who thrives in a fast-paced environment.
• You are a detail-oriented individual who possesses a track record of work efficiency and has strong time management skills.
• You have a deep understanding of the role of compliance and/or supervision at a broker-dealer and/or a registered investment adviser.
• You understand how successful advisers manage their business and desire to be their partner to in their business growth.
• You have previous experience with compliance or supervisory related responsibilities, such as advertising review, email review, portfolio management oversight, transaction and suitability monitoring as well as Code of Ethics monitoring.

• Must have 5+ years of Compliance or Supervision experience in a broker-dealer (BD) or a registered investment adviser (RIA)
• Comprehensive knowledge of alternative investments
• Experience with an independent wealth management platform is a plus

• Exceptional organization and communication skills
• Superior problem-solving skills and ability to convey confidence in your work
• Strong understanding of products and services offered at a broker-dealer
• Strong understanding of the various types of advisory services offered by a registered investment adviser
• FINRA Series 7, 63, 65 (or equivalent) and 24 Preferred
• Investment Adviser Certified Compliance Professional IACCP® a plus

• Core Benefits - Medical with HSA and FSA options, dental, and vision.
• Preparing for Your Future - 401(k) with a generous company match, access to a personal financial planner, and unique investment options.
• Great Team Culture - Team members consistently rave about having great colleagues.
• Time Off - We value family, giving back, making a positive impact in society, and creating time to enjoy life. You will enjoy 4 weeks paid time off, 12 paid holidays, and 2 days for giving back.

• Bachelors Degree
• CRCM and/or CAMS preferred
• 7 to 10 years experience in banking with 3 to 5 years of compliance experience
• Strong computer skills: Advanced skill level in Microsoft Excel; Experience with Microsoft Word and PowerPoint. Experience with industry-related systems/software
• Strong data analysis skills
• Knowledgeable of compliance laws, rules, and regulations including consumer protection regulations, TRID-RESPA, UDAAP, FCRA, HMDA, etc. Thorough knowledge of the Bank Secrecy Act, CRA, and any other regulations is required.

• The Compliance Officer is responsible for maintaining current knowledge of BSA, AML, and OFAC regulations and all bank-related compliance regulations. This person will also use monitoring application systems, maintain investigation files, and conduct periodic assessments of the departments for compliance. Prepare BSA/AML Risk Assessment by identifying the risk profile of the Bank and analyzing the information to better assess the risks identified and mitigate any gaps in control
• Oversee the preparation, research, and filing of SARs and CTRs
• This position will serve on the Compliance Committee and the IT Steering Committee
• Assign and monitor annual BSA training and all other compliance training to Board and Employees
• Meet and discuss with Examiners and Auditors regarding the BSA program and compliance
• Review all projects for BSA and compliance-related issues
• Responsible for monitoring the effectiveness of the Identity Theft Program and providing updates to the Board of Directors
• This position is responsible for monitoring all bank regulations and creating/changing policies and/or procedures for new or updated regulations
• Will be responsible for monitoring/changes of all disclosures for compliance with Federal and State regulations. Reviews product and service disclosures and advertising materials for compliance with applicable rules
• Conduct due diligence on new MSB applications, and establish and direct ongoing monitoring activities for those MSBs based upon risk

Malin is seeking a Compliance Analyst to ensure that the company's internal controls are effectively designed and operated in accordance with JSOX standards . This role plays a key part in maintaining financial integrity, supporting audit readiness, and driving compliance across business systems and processes. The analyst will collaborate closely with the Director of Finance , IT teams, and external auditors to execute audits and document non-conformances.

? Key Responsibilities

• Develop and maintain process documentation , including narratives, flowcharts, and risk/control matrices
• Conduct walkthroughs and control testing to evaluate control design and operational effectiveness
• Coordinate with departments across the company during JSOX audits
• Partner with IT to monitor and manage user access controls
• Identify and implement process improvements to enhance compliance posture
• Support evidence collection and ensure audit readiness
• Track and ensure timely remediation of control deficiencies
• Stay current on J-SOX regulations and internal control best practices
• Deliver employee training sessions on internal controls and compliance requirements
• Participate in ad hoc projects as needed

• Bachelor's degree in Accounting, Finance, Information Systems , or related field
• Minimum of 3 years experience in audit, compliance, or internal controls
• Familiarity with SOX or J-SOX frameworks
• Experience with ERP systems and compliance tools
• Strong documentation and communication skills
• Certifications such as CPA, CIA, or CISA are a plus
• Excellent interpersonal skills to resolve routine and complex issues

Compliance Officer

Lakewood, NJ / Brooklyn / Borough Park

$100,000

Responsibilities :

• Ensure all activities and documentation meet state and federal Medicaid requirements.
• Monitor and verify eligibility for Medicaid reimbursements and funding.
• Maintain accurate records for audits and funding reviews.
• Develop, implement, and enforce organizational policies and procedures that comply with Medicaid and healthcare regulations.
• Stay up to date on changes in laws and regulations affecting Medicaid-funded programs
• Conduct regular reviews of internal policies and procedures to ensure alignment with current regulatory standards.
• Revise and distribute updated policies on a scheduled (e.g., quarterly) basis.
• Receive and investigate compliance concerns, complaints, or reports of misconduct.
• Coordinate appropriate corrective actions and follow-through to resolution.
• Organize and lead quarterly compliance meetings to present progress, risks, and updates.
• Prepare detailed reports tracking improvements, ongoing issues, and upcoming goals.
• Provide compliance training to staff to promote understanding of Medicaid regulations and organizational policies.
• Serve as the point of contact for compliance-related inquiries or guidance.
• Regularly assess the effectiveness of the compliance program and identify opportunities for improvement.
• Collaborate with leadership to implement strategic changes based on audit results or regulatory feedback.

• Experience with OMEG
• Healthcare experience

• Bachelors Degree
• CRCM and/or CAMS preferred
• 7 to 10 years experience in banking with 3 to 5 years of compliance experience
• Strong computer skills: Advanced skill level in Microsoft Excel; Experience with Microsoft Word and PowerPoint. Experience with industry-related systems/software
• Strong data analysis skills
• Knowledgeable of compliance laws, rules, and regulations including consumer protection regulations, TRID-RESPA, UDAAP, FCRA, HMDA, etc. Thorough knowledge of the Bank Secrecy Act, CRA, and any other regulations is required.

• The Compliance Officer is responsible for maintaining current knowledge of BSA, AML, and OFAC regulations and all bank-related compliance regulations. This person will also use monitoring application systems, maintain investigation files, and conduct periodic assessments of the departments for compliance. Prepare BSA/AML Risk Assessment by identifying the risk profile of the Bank and analyzing the information to better assess the risks identified and mitigate any gaps in control
• Oversee the preparation, research, and filing of SARs and CTRs
• This position will serve on the Compliance Committee and the IT Steering Committee
• Assign and monitor annual BSA training and all other compliance training to Board and Employees
• Meet and discuss with Examiners and Auditors regarding the BSA program and compliance
• Review all projects for BSA and compliance-related issues
• Responsible for monitoring the effectiveness of the Identity Theft Program and providing updates to the Board of Directors
• This position is responsible for monitoring all bank regulations and creating/changing policies and/or procedures for new or updated regulations
• Will be responsible for monitoring/changes of all disclosures for compliance with Federal and State regulations. Reviews product and service disclosures and advertising materials for compliance with applicable rules
• Conduct due diligence on new MSB applications, and establish and direct ongoing monitoring activities for those MSBs based upon risk

The Compliance Officer ensures that Radiologic Technology licenses are in compliance with the Rules and Regulations of Louisiana Radiologic Technology licensure law and that all policies and procedures are being followed. The individual is responsible for developing, implementing, and maintaining a system-wide compliance program. This individual will monitor licensees in the program through the effective use of program tools and provide guidance and support, enabling licensees to resume safe medical practice. Investigations on violations are conducted regarding Board policies, state and federal statues, licensure, and/or ethics. The position requires leadership skills to assist the organization to continually focus on compliance. This includes the ability to articulate a vision for the organization's compliance program. The position requires outstanding communication skills in order to interface with all levels of management and staff effectively. The position also requires analytical ability and information systems experience to design data collection systems, data analysis, and reporting mechanisms to measure and continually monitor compliance. Overall support is also provided to the operation of the Board's office. The Compliance Officer assists in the provision of overall support for the operation of the Board's Office. The Compliance Officer reports directly to the Executive Director on a wide variety of administrative and executive duties, special projects, and initiatives involving the Board's office and its priorities. The Compliance Officer handles questions, concerns, issues and requests on the Executive Director's behalf and compiles highly confidential and sensitive information for internal and external distribution. Work is performed in an environment where adherence to confidentiality, high levels of accountability, and effective communication skills are essential to successful completion of tasks. This individual should possess key characteristics such as integrity, leadership, adaptability, problem-solving, and organizational skills to succeed in this position. Please note: This is NOT a remote position.

Preferred Education: Recommended field of study and/or experience in: Compliance Enforcement, Law, Radiologic Sciences, Business Administration, Office Management

Supervised by: Executive Director Supervisor of: Board Staff Required Knowledge, Skills & Abilities

• Knowledge of the RT Practice Act and the Rules and Regulations of the Board
• Ability to make independent judgments and work independently.
• Ability to gather data, compile information, and prepare reports.
• Excellent written and verbal communication skills. Ability to effectively work with a wide range of individuals in a diverse community.
• Ability to use diplomacy and discretion when working with confidential information and sensitive situations.
• Ability to work in a fast-paced environment, perform complex tasks, and prioritize effectively.
• Exceptional organizational and analytical skills.
• Flexibility to switch from one task to another

• Ability to work in excess of 40 hours a week, which may include nights and weekends
• Ability to view a computer screen for long periods of time
• Ability to function in a high-pressure, stressful environment and meet stringent deadlines
• Ability to operate a computer and standard office equipment
• Ability to travel as required and work at different locations as required
• Ability to read, write and speak English at the level equal to or greater than the national standards for a college graduate

The purpose of this job description is to provide a representation of the types of duties and responsibilities that will be required of this position. It is should not be construed as a declaration of the total scope of duties and responsibilities which may actually be performed. Employees in this position may be directed to perform job-related tasks other than those specifically presented herein.

• Develops, initiates, and revises policies and procedures for the general operation of the Compliance Program.
• Manages day-to-day operations of the Compliance program to prevent illegal, unethical, or improper conduct.
• Investigates violations of state, federal, and agency laws, rules, and policies.
• Prepares and maintains detailed confidential reports and summaries of investigations/inspections.
• Collaborates with other individuals (Executive Director, Legal Counsel, Chairman of the Board, and Board Members) to direct compliance issues to appropriate existing channels for investigation and resolution.
• Responds to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluation or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations.
• Ensures that investigations follow the approved process, are lawfully and objectively conducted, and are thorough in gathering all material facts to present concise and factual reports that enable fair and relevant decisions to be made.
• Acts as an independent review and evaluation body to ensure that compliance issues and concerns within the organization are being appropriately evaluated, investigated, and resolved.
• Provides reports on a regular basis, and as directed or requested, to keep Legal Counsel and the Board informed of the operation and progress of compliance issues.
• Ensures proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate or required.
• Interacts with the Board, licensees, and a wide range of members of the public to define, advance, and assess the work of the Board's office to ensure continued effectiveness and success.
• Assists the Executive Director with correspondence dealing with issues and subject matters in ways that require considerable sensitivity, discretion, judgment, and negotiation.
• Plans, manages, and coordinates or assists in the planning, managing, and coordinating all events and activities of the Board's Office, including arranging details, coordinating attendance of all participants, anticipating and resolving technical issues, and preparing materials for distribution internally and externally.
• Effectively composes a wide range of correspondence for distribution internally and externally.
• Manages and/or assists in the management of the Licensee Health Monitoring Policy in accordance with the Rules and Regulations of the Board.
• Creates and maintains databases and files for all correspondence and documents within the Office of the Board.
• Conducts and/or assists in the investigation of complaints, including, the reviewing of complaints filled with the Board, reviewing of medical records, reviewing of employment records and in collaboration with the Executive Director and Board counsel, and preparing reports and recommendations to the Board.
• Reviews all applications for licensure for completion and ensures applicants compliance with licensure requirements as set forth in Practice Act and Rules and Regulations of the Board.
• Performs and/or assists in the performance of annual audits of licensees to ensure compliance with the Practice Act and Rules and Regulations of the Board.
• Assumes responsibilities for other assignments as requested by the Executive Director.

Mudflap serves the $800B trucking industry, the backbone of the U.S. economy. Our market-leading payment products help truckers save thousands of dollars on fuel (their #1 business expense), while providing our fuel stop partners with access to new, hard-to-reach customers. We're a fast-growing marketplace business looking for a new customer-obsessed teammate to join us on this exciting journey.

As our first internal Compliance Officer, you'll work closely with our executive team to define, implement, and manage the policies and procedures that ensure Mudflap operates with integrity, security, and full regulatory alignment. This is a unique opportunity to join a fintech company at a high-growth stage and help shape a function critical to our long-term success.

This role involves a hybrid work approach, balancing in-office collaboration with the ability to work remotely.

To support our team, we offer:

• Commuter benefits to ease your travel
• Lunches and snacks to keep you fueled
• A collaborative, high-growth environment where you'll work closely

Expectations (In this role, you will):

• Develop and manage compliance frameworks for commercial financing and deposit account programs, ensuring adherence to federal and state laws
• Work with Product and Legal teams to structure and review commercial financing and deposit account products to align with regulatory requirements, including disclosures, underwriting standards, and servicing practices
• Develop and maintain company-wide compliance programs and risk controls, including those related to underwriting, fraud, payments, privacy, and vendor oversight
• Stay current on regulatory requirements relevant to Mudflap's business (e.g. Reg B, FCRA, UDAAP, FTC, AML/BSA, PCI, data privacy laws) and lead implementation efforts where needed
• Partner cross-functionally with Legal, Product, Finance, and Operations to advise on compliance risks and embed controls into business processes
• Own the compliance training program for employees and support external audits and regulatory inquiries
• Establish monitoring systems to assess compliance risks across Mudflap's lending-related offerings and ensure timely remediation of any findings
• Establish and manage internal reporting mechanisms for potential violations or concerns
• Serve as a trusted advisor to the executive team and help foster a culture of transparency and accountability

Experience (What we look for):

• 5+ years of compliance experience in a fintech, payments, logistics, or regulated tech environment
• Deep knowledge of compliance frameworks relevant to financial services and/or marketplace platforms
• Proven ability to build compliance programs from the ground up and scale them
• Comfortable balancing structure with flexibility in a startup environment
• Excellent judgment, communication, and stakeholder management skills
• High integrity and a proactive, collaborative mindset
• Experience with AML/BSA programs or working with MSBs
• Familiarity with PCI DSS and privacy regulations (e.g., CCPA)
• Experience working closely with executive leadership and external counsel
• Background in legal, risk, or audit functions is a plus

Perks and Benefits (What we offer):

• Competitive salary and equity in a high-growth startup
• Multiple health benefit options
• Responsible Time Off
• 401(k) matching
• Opportunities and support for major career growth
• Annual Company offsite event (Mudfest!)

The salary range for this role is $77,000 - 208,000. This information reflects a base salary range for this position based on current market data, which may be subject to change as new market data becomes available. The candidate's skills, experience, and other relevant factors will determine the exact compensation.

Company overview (Who we are):

Mudflap is on a mission to transform the trucking and logistics industry by leveling the playing field for owner operators and small fleets. Backed by top-tier venture investors, including QED, Matrix Partners, Commerce Ventures, NFX, and 500 Startups and included in the Forbes Fintech 50 list, Mudflap offers fleet fuel management solutions. Our core team hails from Disney, Uber, Procore, DoorDash, Google, Meta, Capital One, Affirm and Brex.

Here are the core values that we believe in and look for in new teammates:

• Be Customer Obsessed: We deeply understand customer needs and put our customers at the center of everything we do
• Make it Count: Act like an owner by focusing on the impact of your work
• Find a Way: Be a creative problem solver who pushes past roadblocks to win for our customers and our teammates
• Sweat the Details: We keep our standards high and achieve them by paying attention to every detail
• Be Curious: Use a growth mindset to question assumptions, take calculated risks and stretch the boundaries of what's possible

Overview:

• Review and decision employee requests regarding outside business activities, private securities transactions, personal brokerage accounts, gifts and/or entertainment to clients, and other required disclosures
• Review employee electronic communications for compliance with regulatory requirements, and, where necessary, escalate potential policy violations to appropriate stakeholders and functional groups for remediation
• Address compliance inquiries from colleagues across the CNB enterprise
• Perform research and formulate solutions to business issues relevant to various conflict of interest functions
• Review/challenge compliance risk assessments, analyze the Banks compliance risk; determine if current processes control risk.
• Analyze new and changing laws and regulations and develop implementation strategies.
• Maintain updates to compliance policies, procedures, and training for new or revised laws and regulations.
• Assist the Compliance Manager, Senior Compliance Officer, and Risk Assessment team with the evaluation of compliance testing program and processes.
• Perform research on regulations and provide guidance to business operations (divisions) on compliance requirements.
• Create, maintain and update reporting of compliance test results along with comparable line of business QA testing results.
• Work with Senior Compliance Officer, Compliance Manager to maintain audit tracking logs and other tracking reports as deemed necessary.
• Participate in Compliance Committees, maintains minutes or notes of applicable committees or task force meetings.
• Perform compliance reviews on specific loan-level accounts, as required.
• Comply fully with all Bank Compliance policies and procedures as well as all regulatory requirements (e.g. Bank Secrecy Act, Community Reinvestment Act, Fair Lending Practices, Code of Conduct, etc.).
• Provide guidance on regulations, requirements, and Bank procedures.
• Draft and maintain employee training for assigned topic areas.
• Analyze the Banks compliance risk; determine if current processes control risk.
• Complete all required training.
• Other duties and special projects as assigned.
• This position may act as a subject matter expert in limited areas of compliance related to conflicts of interest.

Must-Have*

• Bachelor's Degree or equivalent
• Minimum 5 years experience working with Federal and State compliance regulatory matters
• Minimum 5 years experience in banking, consumer finance, retail banking compliance, mortgage banking or working in a legal department
• Minimum 3 years experience with managing projects or processes

Skills and Knowledge

• College degree preferred. Relevant, equivalent work experience may be substituted for degree preference.
• Good knowledge and relevant work experience with bank credit, deposit, operations regulations (as applicable/assigned).
• Knowledge and experience with traditional bank products and services and/or reviewing marketing materials is a plus.
• Ability to influence/motivate others to produce desired results.
• Ability to operate effectively in a fast paced environment.
• Excellent organizational and analytical skills.
• Ability to communicate clearly and professionally with all levels of an organization.
• Excellent written and verbal communications skills.
• Effective interpersonal skills.
• Proficiency in multi-tasking and prioritizing projects.
• Excellent time management skills and be accustomed to working with deadlines.
• Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or Certified Financial Services Auditor (CFSA) designation a plus.
• Experience communicating and interacting with regulatory agencies, including exam management and other regulatory affairs.
• For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM).

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