Top Compliance Jobs in Denver & Boulder, CO

As a Senior Manager in International Tax Services, you will lead projects, provide strategic tax advice, coach teams, and innovate tax processes through technology.

As a Senior Manager in Specialized Tax Services, you will lead projects, innovate processes, and engage with clients to deliver tax planning and compliance solutions. You will also motivate teams, utilize technical knowledge in energy incentives, and ensure operational excellence.

Manage client service accounts, solve complex tax problems, develop wealth management plans, and ensure quality deliverables for high-net-worth individuals.

The Director of Regulatory & Compliance will lead the Governance, Risk, and Compliance strategy, manage regulatory obligations, and support product compliance in a remote setting.

Build and run the compliance program for DraftKings' prediction market product. Monitor controls, manage issues, support examinations and audits, translate regulatory requirements into processes and platform changes, develop policies and playbooks (AML/KYC, market surveillance, marketing compliance), and prepare compliance reporting and dashboards.

Manage and execute the RIA and BD compliance program: registration and filings, surveillance, testing, advertising review, training, electronic communications monitoring, vendor due diligence, AI governance, exam readiness, and day-to-day program operations supporting SEC and FINRA requirements.

Lead and build enterprise risk and compliance for lending and marketplace fraud. Design a compliance management system, stand up BSA/AML and lending programs, own licensing and regulator relationships, establish fraud detection and operations, set enterprise risk framework, report to executives and Board, and recruit and scale the Risk & Compliance team.

The Senior Manager oversees global tax planning, guides team members, leads audits, communicates with business partners, and maintains tax law knowledge.

The Financial Operations Associate manages investment product operations, ensuring accuracy in cash and security transfers while maintaining compliance and documentation.

The Senior Wealth Advisor manages client relationships, delivers wealth management services, and supports growth through referrals and marketing, all in a remote, independent capacity.

The Fund Controller manages fund accounting accuracy and consistency, collaborates with teams, and oversees compliance and audit partnerships.

Lead enterprise-wide compliance and BSA/AML program for a fintech-focused cannabis B2B platform. Design, implement, and monitor risk controls, onboarding, transaction monitoring, and bank-partner due diligence. Build and scale a compliance team, deliver training, manage audits and third-party assessments, and advise stakeholders on regulatory changes.

Execute risk-based compliance monitoring and testing to validate bank adherence to laws and regulations. Develop workpapers, report findings with root-cause analysis, verify remediation, perform complaint and data analytics, use social media listening and AI tools for marketing compliance, and support annual risk assessments while maintaining stakeholder relationships.

Lead government accounting operations, ensuring compliance with regulations, managing a remote team of accountants, and optimizing processes for operational efficiency.

Lead design and oversight of investment compliance programs for the general account, ensuring adherence to insurance and securities laws and internal policies. Establish policies, monitor and test compliance (including derivatives), escalate and remediate issues, partner with Legal/Risk/Internal Audit, advise senior investment leaders, and build a high-performing compliance team while driving technology-enabled process improvements.

Provide regulatory and compliance support to registered investment adviser clients, perform annual reviews under Rule 206(4)-7, maintain compliance programs and calendars, assist with regulatory filings (Form ADV, PF, 13F, etc.), conduct vendor and forensic testing, support regulatory exams, and help develop compliance policies, training, and risk assessment programs.

Perform onboarding and ongoing compliance oversight for Registered Investment Advisor (RIA) representatives, including U4/U5 and ADV 2B filings, monitoring Outside Business Activities, compliance testing, regulatory research, responding to inquiries, and coordinating with internal stakeholders to mitigate compliance risks.

Lead IT assurance, risk, and SOX compliance efforts by assessing controls, partnering with business and technology teams, and modernizing testing through automation, analytics, and AI. Provide advisory reviews, improve control design, and drive scalable compliance solutions while collaborating with auditors and stakeholders.

Evaluate fraud concerns, resolve payment exceptions, and manage bank reconciliations. Communicate with security holders and banking partners, prepare reconciliation and reporting, process transfers, and identify process improvements. Support deal-driven schedules, occasionally working evenings or weekends.

Lead and manage corporate tax compliance across U.S. federal, state, local, and international jurisdictions; direct global transfer pricing program; oversee tax filings, provisions, and audits; support M&A tax due diligence and entity integrations; develop tax strategies, ensure regulatory compliance, and coordinate with external advisors and tax authorities.

Lead and manage a compliance assurance team to build and run a compliance management system. Develop and execute monitoring, testing, risk assessments, reporting, root cause analysis, and provide regulatory guidance across core bank and fintech partners. Support audits, examinations, and present findings to senior leadership and the Board.

Manage and support the U.S. compliance program, focusing on BSA/AML, consumer compliance (Reg E, UDAAP), audits, regulatory remediation, policy maintenance, due diligence, and cross-functional coordination with regulators and stakeholders.

Lead and grow the Risk & Compliance Services practice across the Mountain West, advising executive leadership and audit committees on governance, regulatory compliance, internal controls, and risk. Drive business development, oversee engagement delivery and profitability, mentor teams, champion digital enablement and analytics, and represent the firm externally to support practice strategy and growth.

Monitor real-time and historical derivatives trading to detect market abuse, investigate flagged transactions, prepare investigative reports, ensure regulatory compliance, support KYC/AML enforcement, and collaborate with Legal, Risk, and Technology to improve surveillance protocols.

Lead a Consumer compliance advisory function, providing regulatory subject-matter expertise (TILA, RESPA, FCRA, FDCPA, etc.), managing advisors and the Privacy Office, partnering with business leadership to identify, prioritize, and mitigate compliance risks, and advising on new products and regulatory developments.