Top Compliance Jobs in Seattle, WA

Lead and mature end-to-end SOX compliance program including scoping, risk-control matrices, testing, remediation, governance, external audit liaison, automation, and team leadership to ensure ICFR effectiveness in a complex technology environment.

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 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.

Leads finance compliance and launch readiness for complex AI strategic deals. Evaluates deal constructs, identifies financial risks, translates commercial mechanics into finance requirements, coordinates stakeholder approvals, manages launch status and escalation, and improves governance, templates, automation, decision logs, and operating processes. Influences Finance, Engineering, Operations, and Business Development leaders while ensuring accounting, control, and compliance requirements are addressed throughout launch execution.

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.

Manage complex U.S. and Canadian payroll tax compliance, including audits, agency inquiries, filings, reconciliations, tax adjustments, employee tax configurations, and W-2/W-2c and T4 reporting. Resolve escalated tax matters, oversee registrations and vendor coordination, identify control gaps, and improve payroll tax processes while ensuring regulatory accuracy and timely reporting.

Supports the firm's compliance and governance framework for mortgage lending and servicing operations. Oversees policies, regulatory and investor deliverables, audits, certifications, reporting, licensing requirements, document governance, insurance compliance, wire audits, and remediation. Manages the GST team, coordinates with internal and external stakeholders, and ensures compliance with federal, state, municipal, GSE, HUD, Ginnie Mae, and corporate requirements.

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.

Review employer payroll records against collective bargaining agreements to verify benefit contributions. Responsibilities include analyzing records, entering data, documenting errors in audit software, writing weekly status updates, communicating audit findings to clients, and meeting KPI-based production standards. The role includes paid training, requires strong organization, communication, analytical skills, Microsoft Word and Excel proficiency, and willingness to travel. This position is fully on-site in Seattle.

Own complex KYC engagements from intake through resolution, reviewing documentation and entity structures for AML and KYC compliance across US, UK, and EU regimes. Maintain accurate records, resolve issues, monitor regulatory changes, communicate with clients and counterparties, and escalate appropriately. The role also mentors junior analysts, improves processes, and supports high-volume compliance operations involving private markets and offshore jurisdictions.

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.

Owns day-to-day legal, regulatory, and compliance execution across Utopia Studio and Utopia Capital. Responsibilities include managing QFCRA and fund filing calendars, coordinating investor reporting, conducting KYC and AML checks, maintaining compliance registers, supporting audits, administering contracts, coordinating external counsel, and keeping corporate, governance, licensing, and statutory records accurate and current. The role reports to the COO and works with finance, operations, external compliance providers, counsel, and company leadership.

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.

Supports mortgage origination compliance through complaint investigations, regulatory and investor examinations, risk-based monitoring, transactional testing, regulatory research, root cause analysis, reporting, and remediation. Independently manages multiple compliance matters, develops testing methodologies and monitoring materials, communicates findings to regulators and leadership, and recommends improvements to compliance controls and the Compliance Management System.

Build and scale compliance processes for Lemonade’s P&C insurance products across Car, Home, Renters, and Pet lines. Develop policies, provide regulatory guidance to leadership, partner with Insurance Operations and Product, manage compliance projects, and improve processes through AI and automation while handling multiple priorities and deadlines.

Review and grade AI-generated compliance and regulatory-response documents, spreadsheets, and presentations for accuracy, rigor, and domain quality. Apply financial-services compliance expertise to evaluate outputs against quality rubrics, identify factual, aesthetic, and presentation errors, and provide structured written feedback. This is a fully remote, flexible independent-contractor engagement paid hourly.

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.

Provide fractional compliance advisory to alternative investment firms and family offices: develop and implement compliance programs, Form ADV filings, policies, controls, training, regulatory exam readiness, risk assessments, remediation, and ad-hoc projects.

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.

Supports the Chief Compliance Officer in executing the firm’s compliance program. Responsibilities include applying FINRA and SEC regulations, monitoring controls, improving processes, maintaining policies and supervisory procedures, reviewing communications, supporting regulatory examinations and filings, conducting branch inspections, and assisting with product governance.

Manage the full lifecycle of inbound KYC requests, including intake, documentation review, validation, client communication, recordkeeping, and timely resolution. Apply global KYC, AML, and international regulatory requirements, monitor regulatory changes, maintain audit-ready records, and escalate issues appropriately. The role operates in a high-volume, client-facing environment serving asset managers, private equity firms, and counterparties.

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.