Compliance

• Lead, coach, develop, and manage the Compliance Operations team
• Remain actively involved in day-to-day compliance operations while balancing leadership responsibilities
• Oversee end-to-end onboarding activities for corporate and private clients
• Manage customer lifecycle reviews, KYC refreshes, and periodic review programs in line with customer risk ratings and regulatory requirements
• Ensure adherence to AML, sanctions, and compliance policies, procedures, and control frameworks
• Act as an escalation point for complex, high-risk, or sensitive customer cases
• Monitor onboarding pipelines, review backlogs, service levels, productivity metrics, and operational performance indicators
• Conduct quality assurance reviews and support the maintenance of a robust first-line control environment
• Prepare management information, operational dashboards, and risk reporting for senior leadership
• Drive process improvement initiatives to enhance efficiency, strengthen controls, and improve client experience
• Support regulatory examinations, internal audits, and responses to banking partner requirements
• Partner closely with stakeholders across Compliance, Operations, Risk, Legal, Sales, and Executive Management

Compliance Operations Manager

• Represent and protect Hilb in the drafting and negotiation of various types of agreements with Hilb’s employee benefits clients
• The Contracts Manager works with Sales, Service, Operations, Finance, Compliance, and Legal to reach the desired business goals of Hilb, while managing the firm’s risk
• You will be responsible for successfully completing the drafting, negotiation, and execution of client agreements for Hilb’s Employee Benefits platform
• Serve as the fact of Hilb and providing one of the first customer experiences for new clients
• Oversee the preparation and filing of Forms 5500 and plan documents on behalf of Hilb clients
• Participate as a Team member in a fast-paced, growing sales environment open to continuous improvement

Contract & Compliance Specialist

• Develop and execute strategies that align Instacart's compliance goals with business priorities
• Lead, coach, and mentor a team of Regulatory Ops and Program Managers
• Drive alignment on high-priority legislative initiatives
• Partner closely with Policy & Government Affairs, Legal, Product & Engineering, Business Development, and Operations
• Oversee the coordination, implementation, and monitoring of regulatory initiatives
• Build and continuously improve the operational frameworks, workflows, and tooling for compliance

Senior Manager, Regulatory Operations

• Perform Operational Due Diligence (ODD) of third-party fund managers of alternative investment products
• Compliance oversight programs require continuous assessment of improvement opportunities and regulatory changes
• Evaluate compliance environment to assess strengths or weaknesses of controls that support products and services
• Foster strong partnerships with key business partners to support the expansion of solutions-based products and fund offerings

Director, Asset Management Compliance

• Define strategy, operating model, and priorities in partnership with the Executive Director
• Set goals, performance measures, and annual objectives
• Lead SOX transformation, control modernization, and automation initiatives
• Drive continuous improvement and organizational maturity
• Serve as a trusted advisor to senior leaders
• Establish governance forums, charters, and decision frameworks
• Manage executive reviews, steering committees, and planning sessions
• Track commitments, decisions, and follow‑through
• Design dashboards and scorecards for senior leadership
• Report on control health, deficiencies, remediation progress, and audit readiness
• Prepare materials for executive leadership and audit stakeholders
• Lead the SOX Compliance Hub PMO
• Oversee major initiatives, risks, dependencies, budgets, and resourcing
• Coordinate efforts across process controls, IT controls, remediation, technology, and reporting
• Lead executive and organizational communications
• Develop leadership presentations and board‑level materials
• Support change management for governance and transformation efforts
• Support implementation of GRC tools and reporting automation
• Standardize processes and improve scalability and transparency
• Identify opportunities to increase efficiency through technology

Senior Manager – SOX Compliance, Strategy & Governance

• VP, Compliance position is a leadership role within the Wealth and Brokerage (W and B) Compliance team, responsible for providing compliance leadership and counsel on regulatory and compliance requirements related to Fidelity Brokerage Services (FBS) and working in close collaboration with related business units.
• Serve as the central cross-business unit compliance contact for design, governance and oversight for personal card services products offered by Fidelity.
• Focus on a number of areas including a framework to comply with Regulation E, compliance obligations with respect to fraud and dispute handling, complaint management, customer protection obligations and card-specific controls.
• Provide consultation and advice on payment/debit card programs, cash management features, broker-dealer products and services offerings to help the business achieve regulatory compliance.
• Oversee the design and development of compliance solutions and controls to mitigate risk to the broker-dealer.

VP, Compliance – Card Services, Cash Management

• assess the impacts of new complex products, investment capabilities, and regulatory changes
• build and lead implementation plans
• design, build, and maintain robust product and regulatory intake
• drive and support collaboration, readiness, and transparency
• lead a variety of initiatives with a focus on emerging lines of business

• Own the strategic design and continuous evolution of risk frameworks, the risk registry, and executive risk narratives for Community Support.
• Ensure that investigative outcomes are contextualized within the broader risk ecosystem — informing risk appetite decisions, shaping detection strategy, and driving remediation accountability.
• Serve as the program manager for systemic root cause resolution — ensuring that when investigations, incidents, or risk assessments reveal structural vulnerabilities, those root causes do not languish in a findings log but are tracked, assigned, resourced, and driven to completion across the organization.
• Serve as a risk steward for AI systems that touch Community Support — leading governance and discussions of the implications of deploying AI in high-stakes decision-making environments.
• Design and own the CS Risk Appetite Framework — define guardrails, escalation triggers, and pre-approved response actions.
• Own and evolve the CS Risk Registry as a living strategic instrument. Your job is to challenge what gets prioritized, determine whether risk scores reflect reality, identify risks that automated systems miss entirely, and ensure accountability for remediation.
• Develop and stress-test risk assessment standards — including key risk indicators (KRIs), risk typologies, and emerging threat hypotheses.
• Support the evolution of models and processes used in detection triage and investigation.
• Establish ongoing governance cadences — risk review boards, quarterly risk assessments, and challenge sessions where risk assumptions are pressure-tested by diverse stakeholders, not simply ratified.
• Collaborate closely with the Insider Threat Investigations to ensure investigative outcomes are systematically captured, contextualized, and integrated into risk governance.

Process Risk and Compliance Operations Manager

• support and enhance established compliance programs
• audit and monitor processes
• maintain precise records
• manage the full lifecycle of regulatory licensing filings
• conduct in-depth fact-finding and legal research
• provide timely, accurate responses that support informed decision-making

Senior Analyst, Business Compliance

• Work within a dedicated team to execute regulatory intake and triage rules, guidance, enforcement actions, and exam activity across multiple rulebooks (e.g. FINRA, SEC, etc.).
• Assess applicability and document clear disposition decisions (in-scope, out-of-scope, monitor).
• Summarize regulatory updates into concise, actionable insights for stakeholders.
• Maintain and enhance the regulatory rules inventory with a focus on data accuracy, completeness, and consistency.
• Support workflow execution, tracking, and status visibility across regulatory change activities.
• Partner across Compliance, Legal, Risk, Technology, and business SMEs to support coordination of impact assessments.
• Support reporting and metrics to improve enterprise visibility into regulatory change.
• Identify trends and themes in regulatory developments and escalate as appropriate.

Compliance Advisor – Regulatory Change Management

• Manage market conduct exams and regulatory inquiries
• Interact with state regulators and drive successful implementation of corrective action plans
• Provide subject matter expertise on state regulatory environment to business areas and compliance teams
• Coordinate market conduct exams across business areas and with Legal
• Serve as a point of contact for state regulators and third-party auditors
• Ensure accurate, timely collection and delivery of exam materials
• Oversee responses to exam findings and corrective action plans
• Maintain strong documentation of all exam-related work

Manager, Corporate Compliance – Market Conduct Exams

• Act as compliance liaison for assigned areas and assist with creating a culture of compliance through training, engagement and providing consistent feedback on compliance standards.
• Responsible for the identification, analysis, communication and resolution of advertising deficiencies, lead generation practices, agent conduct, and other compliance issues for assigned areas.
• Review life insurance and annuity marketing material for compliance with applicable regulations.
• Assist in the creation, implementation, and maintenance of compliance policies, procedures and educational material.
• Work with internal and external partners on vetting and implementing compliance and business initiatives.
• Participate in compliance projects, such as onboarding new technology, and serve as backup to other functions as needed.

Senior Compliance Analyst

• Provide compliance leadership and counsel on regulatory and compliance requirements related to Fidelity Brokerage Services
• Serve as the central cross-business unit compliance contact for design, governance and oversight for personal card services products
• Oversee the design and development of compliance solutions and controls to mitigate risk to the broker-dealer
• Consult and advise on payment/debit card programs, cash management features, broker-dealer products and services offerings

• Perform Operational Due Diligence (ODD) of third-party fund managers of alternative investment products on behalf of the CCOs, other governing bodies, and investors
• Assess compliance oversight programs for improvement opportunities and regulatory changes
• Foster strong partnerships with key business partners to support expansion of solutions-based products and fund offerings
• Interact frequently with Fidelity control partners, including Legal, Treasurer’s Office, Risk, and Operations

Senior Manager, Asset Management Compliance – Alternatives Manager Oversight

• Manage Regulatory Compliance function
• Ensure compliance with, and manage company processes related to, state money transmitter licensing requirements and all Nationwide Multistate Licensing System (NMLS)-related activities
• Maintain extra-provincial registrations for Moneycorp US Inc. in Canada
• Conduct horizon scanning, liaise with regulators to ensure timely notice of any regulatory changes, and communicate all such changes promptly to the Chief Compliance Officer (CCO)
• Prevent any disruption in licensing status by ensuring the company receives timely, accurate and complete documentation/information concerning licensing requirements
• Strategize, plan, and prioritize licensing strategy and related risks
• Timely file all required reports, renewal documents, and other information related to applicable licensing requirements
• Identify and internally report licensing-related risk and compliance issues and participate in developing mitigation plans
• Create accurate and timely reporting and analysis of regulatory and licensing activities
• Monitor and resolve NMLS task list for all license item notifications
• Monitor all regulatory filings managed by outside vendors (e.g. Secretary of State filings submitted by the company’s registered agent) to ensure timely and complete submissions
• Monitor surety bond expiration dates and ensure renewals are processed in a timely manner
• Provide management and executive level overview on the state of licensing
• Hire and manage a Regulatory and Licensing Associate to serve as deputy
• Assist as needed in other areas of Compliance
• Manage external and internal audits
• Act as principal coordinator, in collaboration with Finance, Legal, and Compliance departments, for all federal/state examinations, internal and external audits, annual independent AML compliance reviews (US), and biennial AML effectiveness reviews (Canada). This includes:
• Organizing and coordinating initial document production
• Preparing and maintaining examination trackers, issues logs, etc.
• Acting as principal point of contact during the course of all examinations/audits
• Supporting the Chief Compliance Officer, as needed, in preparing responses to the examiners
• Managing the post-examination issues log and ensuring all action items are completed in a timely manner

Compliance jobs in Rhode Island

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Compliance Operations Manager

Contract & Compliance Specialist

Senior Manager, Regulatory Operations

Director, Asset Management Compliance

Senior Manager – SOX Compliance, Strategy & Governance

VP, Compliance – Card Services, Cash Management

Director, Asset Management Compliance

Process Risk and Compliance Operations Manager

Senior Analyst, Business Compliance

Compliance Advisor – Regulatory Change Management

Manager, Corporate Compliance – Market Conduct Exams

Senior Compliance Analyst

VP, Compliance – Card Services, Cash Management

Senior Manager, Asset Management Compliance – Alternatives Manager Oversight

Regulatory and Licensing Manager