Remote Lead Compliance Officer Jobs
Remote lead compliance officer jobs are open across the U.S. at remote-first firms and distributed teams in sectors like financial services, healthcare, and technology. Employers hiring remotely right now include Block, Pace-O-Matic, and Surgery Partners. Scan the live roles below and apply to whichever ones fit.
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Open roles27
Top employerBlock
Top credentialBachelor's degree
Companies hiring21
Showing 5 of 27+ Remote Lead Compliance Officer jobs
Senior Compliance Officer - Institutional Asset Management & Capital Markets
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Added 2d ago
First Citizens Bank
Senior Compliance Officer - Institutional Asset Management & Capital Markets
Raleigh, North Carolina
Added 2d 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 3d ago
EveryMatrix
Senior Compliance Officer
Las Vegas, Nevada
Added 3d 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 2d 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 2d 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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Who's Hiring
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What Employers Look For
The qualifications that appear most often in remote lead compliance officer jobs.
- Five or more years of compliance, regulatory affairs, or risk management experience
- Deep knowledge of industry-specific regulations such as SOX, HIPAA, BSA, or FDA requirements
- Experience conducting internal investigations, audits, and regulatory examinations
- Professional certification such as CCEP, CRCM, CHC, or CISA preferred or required
- Bachelor's degree in law, finance, business administration, or a related field
- Proficiency with governance, risk, and compliance software platforms and reporting tools
Tips for Your Remote Lead Compliance Officer Job Search
Apply early to remote roles that fit
Migrate Mate lists remote lead compliance officer openings from across the U.S. in one place. Search the current roles, find the ones that match your regulatory background and experience level, and apply directly before postings close.
Show your async compliance communication style
Remote employers want to see that you can conduct compliance reviews, escalate issues, and deliver training through written channels. Include examples of compliance memos, policy documentation, or audit summaries you have produced independently.
Demonstrate remote program management on your resume
List compliance programs you have led or maintained without daily in-person oversight. Naming the regulatory frameworks you managed, the team size, and the outcomes you delivered tells remote hiring managers you can own a compliance function from anywhere.
Prepare for async and video-based remote interviews
Many distributed companies use recorded video screenings before live interviews. Practice explaining your compliance approach clearly and concisely on camera, since your ability to communicate complex regulatory matters without a whiteboard is part of what they are evaluating.
Remote Lead Compliance Officer Jobs: Frequently Asked Questions
How do I get a remote lead compliance officer job?
Target companies that already operate with distributed teams, since they have the workflows in place for remote compliance oversight. Remote employers screen for self-direction, precise written communication, and the ability to run audits, training programs, and regulatory reporting without in-person check-ins. Certifications like CCEP or CRCM, along with demonstrated experience managing compliance programs independently, give candidates a clear edge.
Which companies hire remote lead compliance officers?
Companies hiring remote lead compliance officers right now include Block, Pace-O-Matic, and Surgery Partners, based on current remote listings on Migrate Mate as of November 2026. Remote-first financial services firms, healthtech companies, and distributed SaaS organizations are among the most consistent hirers of this role.
Can you get a remote lead compliance officer job with no experience?
Yes, but remote lead compliance officer roles expect independent judgment from day one, which makes breaking in harder without a foundation. Entry paths include remote junior compliance analyst roles at growing fintechs or healthtech startups, where you can build a record of autonomous work. Completed certifications, a portfolio of compliance documentation samples, and demonstrated comfort with async communication tools open the door.
Do you need a degree for remote lead compliance officer jobs?
Not always. Many remote employers weigh a combination of professional certifications, demonstrated program management, and regulatory knowledge more heavily than a specific degree. A CCEP, CRCM, or relevant industry credential paired with a clear record of building or leading compliance functions can substitute for a traditional four-year requirement at a range of companies.
See All 27 Remote Lead Compliance Officer Jobs
Find roles that match your experience and apply in just a few clicks.
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