Remote Compliance Officer Jobs
Remote compliance officer jobs are open across the U.S. at remote-first firms, distributed financial services teams, and technology companies building out dedicated compliance functions. Employers hiring remotely right now include Block, Pace-O-Matic, and Surgery Partners. See the openings below and apply to the ones that match your experience.
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Open roles27
Top employerBlock
Top credentialBachelor's degree
Companies hiring21
Showing 5 of 27+ Remote Compliance Officer jobs
Senior Compliance Officer - Institutional Asset Management & Capital Markets
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Added 1d ago
First Citizens Bank
Senior Compliance Officer - Institutional Asset Management & Capital Markets
Raleigh, North Carolina
Added 1d ago
Vice President, Legal & Chief Compliance Officer
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Added 2d ago
SmartAsset
Vice President, Legal & Chief Compliance Officer
New York, New York
Added 2d ago
Senior Compliance Officer
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Added 2d ago
EveryMatrix
Senior Compliance Officer
Las Vegas, Nevada
Added 2d ago
Associate Information Compliance Officer
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Added 5d ago
Stanford University
Associate Information Compliance Officer
Redwood City, California
Added 5d ago
Compliance Officer
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Added 1w ago
LOGS Legal Group
Compliance Officer
Bannockburn, Illinois
Added 1w ago
Added 1d ago
Senior Compliance Officer - Institutional Asset Management & Capital Markets
First Citizens Bank·Raleigh, North Carolina
Job functions:
$150k - $175k/yr
Remote (US)
High school diploma or GED
10,000+ employees
Job Description
Overview:
The Senior Compliance Officer plays a critical role in supporting and advancing the firm's commercial broker-dealer and investment adviser compliance programs. This position provides compliance leadership across risk assessments, policies and procedures, controls and monitoring, testing, audits, and strategic compliance initiatives. The role serves as a trusted advisor to business leaders, helping the organization navigate complex regulatory requirements while supporting growth, innovation, and new business initiatives.
Basic Qualifications:
Minimum Required Education and Experience: Bachelor's Degree and 8 years' experience OR High School Diploma or GED/Equivalent and 12 years' experience in Compliance, Legal, Audit, Banking or other related experience.
Required Qualifications:
This job posting is expected to remain active for 7 days from the initial posting date listed above. If it is necessary to extend this deadline, the posting will remain active as appropriate. Job postings may come down early due to business need or a high volume of applicants.
The base pay for this position is generally between $150,000 to $175,000. Actual starting base pay will be determined based on skills, experience, location, and other non-discriminatory factors permitted by law. For some roles, total compensation may also include variable incentives, bonuses, benefits, and/or other awards as outlined in the offer of employment.
This is a remote role that may be hired in several markets across the US. With preferred locations in New York, NY, San Francisco, CA or Charlotte, NC where the role would be hybrid coming in the office 3 days a week.
The Senior Compliance Officer plays a critical role in supporting and advancing the firm's commercial broker-dealer and investment adviser compliance programs. This position provides compliance leadership across risk assessments, policies and procedures, controls and monitoring, testing, audits, and strategic compliance initiatives. The role serves as a trusted advisor to business leaders, helping the organization navigate complex regulatory requirements while supporting growth, innovation, and new business initiatives.
The successful candidate will bring strong expertise in investment banking compliance, private investment compliance, and/or commercial broker-dealer and investment adviser compliance programs. This individual must possess exceptional analytical and problem-solving capabilities, sound judgment, and the ability to deliver practical, risk-based compliance guidance in a fast-paced and evolving environment.
Responsibilities & Qualifications:
Duties & Responsibilities:
Compliance Advisory and Business Partnership
- Serve as the primary compliance advisor for private investments, private placement engagements, capital raising activities, and related strategic initiatives.
- Partner closely with business leaders and key stakeholders to support strategic growth opportunities while ensuring activities remain aligned with regulatory obligations and firm standards.
- Deliver timely, practical, and risk-based compliance guidance that enables informed business decisions and effective resolution of complex compliance matters.
- Act as a trusted advisor by balancing regulatory expectations with business objectives and operational realities.
Regulatory Risk Management and Transaction Oversight
- Identify, assess, and escalate conflicts of interest, confidentiality concerns, nonpublic information risks, and other transaction-related compliance issues to the Chief Compliance Officer as appropriate.
- Review pitchbooks, teasers, management presentations, and other transaction or marketing materials to ensure compliance with applicable regulations and firm policies.
- Provide compliance oversight of portfolio management activities to help ensure consistency with client mandates, disclosed objectives, contractual requirements, and regulatory obligations.
- Oversee compliance reviews involving best execution, trade allocation and aggregation practices, and conflict-of-interest management.
Compliance Program Leadership and Enhancement
- Maintain and strengthen compliance program policies, procedures, Written Supervisory Procedures, and Codes of Ethics.
- Evaluate regulatory developments and implement appropriate program enhancements.
- Assess existing compliance frameworks, identify gaps, and implement scalable control solutions.
- Lead corrective action initiatives designed to address complex compliance issues and strengthen program effectiveness.
Monitoring, Testing, and Regulatory Examinations
- Participate in compliance risk assessments and lead monitoring, surveillance, and testing activities.
- Lead internal compliance testing and audit activities.
- Support the CCO in regulatory examinations, inquiries, investigations, and other complex regulatory matters.
Strategic Initiatives
- Contribute to new product and service initiatives and other strategic programs that support organizational growth.
- Participate in special projects and perform additional responsibilities as assigned.
Basic Qualifications:
Minimum Required Education and Experience: Bachelor's Degree and 8 years' experience OR High School Diploma or GED/Equivalent and 12 years' experience in Compliance, Legal, Audit, Banking or other related experience.
Required Qualifications:
- Strong working knowledge of the Investment Advisers Act of 1940, SEC Marketing Rule, FINRA rules, and related regulatory guidance.
- Experience providing compliance advisory support to an asset manager engaged in private investments.
- Excellent written and verbal communication skills.
- Strong analytical, organizational, and problem-solving skills.
- Demonstrated ability to exercise sound judgment and provide risk-based recommendations.
- Proven ability to manage multiple priorities and deadlines.
- Ability to work independently and collaboratively with cross-functional teams.
- FINRA Series 7 & 24 licenses.
Preferred Qualifications:
- Experience with electronic communication surveillance systems and trade surveillance systems.
- Ability to mentor and lead large cross functional projects.
Benefits are an integral part of total rewards and First Citizens Bank is committed to providing a competitive, thoughtfully designed and quality benefits program to meet the needs of our associates. More information can be found at https://jobs.firstcitizens.com/benefits.
This job posting is expected to remain active for 7 days from the initial posting date listed above. If it is necessary to extend this deadline, the posting will remain active as appropriate. Job postings may come down early due to business need or a high volume of applicants.
The base pay for this position is generally between $150,000 to $175,000. Actual starting base pay will be determined based on skills, experience, location, and other non-discriminatory factors permitted by law. For some roles, total compensation may also include variable incentives, bonuses, benefits, and/or other awards as outlined in the offer of employment.
First Citizens Bank
Senior Compliance Officer - Institutional Asset Management & Capital Markets
Raleigh, North Carolina
Added 1d ago10,000+ employees
Job functions:
$150k - $175k/yr
Remote (US)
High school diploma or GED
Job Description
Overview:
The Senior Compliance Officer plays a critical role in supporting and advancing the firm's commercial broker-dealer and investment adviser compliance programs. This position provides compliance leadership across risk assessments, policies and procedures, controls and monitoring, testing, audits, and strategic compliance initiatives. The role serves as a trusted advisor to business leaders, helping the organization navigate complex regulatory requirements while supporting growth, innovation, and new business initiatives.
Basic Qualifications:
Minimum Required Education and Experience: Bachelor's Degree and 8 years' experience OR High School Diploma or GED/Equivalent and 12 years' experience in Compliance, Legal, Audit, Banking or other related experience.
Required Qualifications:
This job posting is expected to remain active for 7 days from the initial posting date listed above. If it is necessary to extend this deadline, the posting will remain active as appropriate. Job postings may come down early due to business need or a high volume of applicants.
The base pay for this position is generally between $150,000 to $175,000. Actual starting base pay will be determined based on skills, experience, location, and other non-discriminatory factors permitted by law. For some roles, total compensation may also include variable incentives, bonuses, benefits, and/or other awards as outlined in the offer of employment.
This is a remote role that may be hired in several markets across the US. With preferred locations in New York, NY, San Francisco, CA or Charlotte, NC where the role would be hybrid coming in the office 3 days a week.
The Senior Compliance Officer plays a critical role in supporting and advancing the firm's commercial broker-dealer and investment adviser compliance programs. This position provides compliance leadership across risk assessments, policies and procedures, controls and monitoring, testing, audits, and strategic compliance initiatives. The role serves as a trusted advisor to business leaders, helping the organization navigate complex regulatory requirements while supporting growth, innovation, and new business initiatives.
The successful candidate will bring strong expertise in investment banking compliance, private investment compliance, and/or commercial broker-dealer and investment adviser compliance programs. This individual must possess exceptional analytical and problem-solving capabilities, sound judgment, and the ability to deliver practical, risk-based compliance guidance in a fast-paced and evolving environment.
Responsibilities & Qualifications:
Duties & Responsibilities:
Compliance Advisory and Business Partnership
- Serve as the primary compliance advisor for private investments, private placement engagements, capital raising activities, and related strategic initiatives.
- Partner closely with business leaders and key stakeholders to support strategic growth opportunities while ensuring activities remain aligned with regulatory obligations and firm standards.
- Deliver timely, practical, and risk-based compliance guidance that enables informed business decisions and effective resolution of complex compliance matters.
- Act as a trusted advisor by balancing regulatory expectations with business objectives and operational realities.
Regulatory Risk Management and Transaction Oversight
- Identify, assess, and escalate conflicts of interest, confidentiality concerns, nonpublic information risks, and other transaction-related compliance issues to the Chief Compliance Officer as appropriate.
- Review pitchbooks, teasers, management presentations, and other transaction or marketing materials to ensure compliance with applicable regulations and firm policies.
- Provide compliance oversight of portfolio management activities to help ensure consistency with client mandates, disclosed objectives, contractual requirements, and regulatory obligations.
- Oversee compliance reviews involving best execution, trade allocation and aggregation practices, and conflict-of-interest management.
Compliance Program Leadership and Enhancement
- Maintain and strengthen compliance program policies, procedures, Written Supervisory Procedures, and Codes of Ethics.
- Evaluate regulatory developments and implement appropriate program enhancements.
- Assess existing compliance frameworks, identify gaps, and implement scalable control solutions.
- Lead corrective action initiatives designed to address complex compliance issues and strengthen program effectiveness.
Monitoring, Testing, and Regulatory Examinations
- Participate in compliance risk assessments and lead monitoring, surveillance, and testing activities.
- Lead internal compliance testing and audit activities.
- Support the CCO in regulatory examinations, inquiries, investigations, and other complex regulatory matters.
Strategic Initiatives
- Contribute to new product and service initiatives and other strategic programs that support organizational growth.
- Participate in special projects and perform additional responsibilities as assigned.
Basic Qualifications:
Minimum Required Education and Experience: Bachelor's Degree and 8 years' experience OR High School Diploma or GED/Equivalent and 12 years' experience in Compliance, Legal, Audit, Banking or other related experience.
Required Qualifications:
- Strong working knowledge of the Investment Advisers Act of 1940, SEC Marketing Rule, FINRA rules, and related regulatory guidance.
- Experience providing compliance advisory support to an asset manager engaged in private investments.
- Excellent written and verbal communication skills.
- Strong analytical, organizational, and problem-solving skills.
- Demonstrated ability to exercise sound judgment and provide risk-based recommendations.
- Proven ability to manage multiple priorities and deadlines.
- Ability to work independently and collaboratively with cross-functional teams.
- FINRA Series 7 & 24 licenses.
Preferred Qualifications:
- Experience with electronic communication surveillance systems and trade surveillance systems.
- Ability to mentor and lead large cross functional projects.
Benefits are an integral part of total rewards and First Citizens Bank is committed to providing a competitive, thoughtfully designed and quality benefits program to meet the needs of our associates. More information can be found at https://jobs.firstcitizens.com/benefits.
This job posting is expected to remain active for 7 days from the initial posting date listed above. If it is necessary to extend this deadline, the posting will remain active as appropriate. Job postings may come down early due to business need or a high volume of applicants.
The base pay for this position is generally between $150,000 to $175,000. Actual starting base pay will be determined based on skills, experience, location, and other non-discriminatory factors permitted by law. For some roles, total compensation may also include variable incentives, bonuses, benefits, and/or other awards as outlined in the offer of employment.
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Find JobsRemote Compliance Officer Job Market
Who's Hiring
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What Employers Look For
The qualifications that appear most often in remote compliance officer jobs.
- Bachelor's degree in finance, law, business, or a related field
- Three or more years of experience in regulatory compliance or audit
- Working knowledge of relevant regulations such as SOX, HIPAA, BSA, or GDPR
- Professional certification such as CCEP, CRCM, CAMS, or CHC preferred
- Experience developing, implementing, or auditing compliance programs and policies
- Strong written communication skills for policy documentation and regulatory reporting
Tips for Your Remote Compliance Officer Job Search
Apply early to remote roles that fit
Migrate Mate lists remote compliance officer openings from across the U.S. in one place. Search by role, find positions that match your regulatory background and industry experience, and apply directly before postings close.
Show your async documentation skills clearly
Remote compliance officers live in written communication. Highlight specific examples of compliance memos, policy documentation, or audit reports you produced independently. Employers need to know you can surface regulatory issues clearly without a hallway conversation.
Signal self-directed regulatory work in your resume
Remote employers screen for candidates who managed compliance programs without close oversight. Call out the specific regulations you owned, how you monitored them, and what you did when gaps appeared, without waiting to be directed.
Prepare for remote compliance interviews differently
Expect scenario questions about how you handle a compliance breach when your team is distributed and decision-makers are in different time zones. Practice explaining your escalation process, documentation habits, and how you keep stakeholders aligned asynchronously.
Remote Compliance Officer Jobs: Frequently Asked Questions
How do I get a remote compliance officer job?
Remote compliance officer roles go to candidates who can demonstrate strong written communication, self-direction, and the ability to manage regulatory obligations without in-person supervision. Remote employers screen heavily for experience documenting compliance frameworks, working independently across time zones, and flagging issues proactively. Certifications like CRCM, CCEP, or CFE strengthen your profile, and a portfolio showing past audits or policy work you led independently gives you a concrete edge.
Which companies hire remote compliance officers?
Remote compliance officer roles are posted by Block, Pace-O-Matic, and Surgery Partners and others right now, based on current remote listings on Migrate Mate as of November 2026. Hiring tends to concentrate at remote-first fintech companies, distributed healthcare organizations, and technology firms that operate across multiple jurisdictions and need compliance oversight without requiring staff on-site.
Can you get a remote compliance officer job with no experience?
Yes, but remote entry-level compliance roles are harder to land because employers expect you to manage regulatory tasks independently from day one. Fintech startups and SaaS companies occasionally hire junior compliance analysts remotely. What opens the door is showing relevant coursework, a compliance-related certification, or documented work on policy projects, even from internships or volunteer regulatory roles that demonstrate you can operate without close supervision.
Do you need a degree for remote compliance officer jobs?
Not always. Many remote employers prioritize demonstrated regulatory knowledge, relevant certifications, and a history of managing compliance programs over a specific degree. A CCEP, CRCM, or similar credential often carries more weight than a degree field when employers are evaluating remote candidates, since the ability to independently interpret and apply regulations matters more than academic background alone.
See All 27 Remote Compliance Officer Jobs
Find roles that match your experience and apply in just a few clicks.
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