Top Compliance Jobs in Denver & Boulder, CO

Own international tax and regulatory compliance across US, Cayman Islands, Costa Rica, UK, and Australian entities. Manage PFIC reporting, intercompany loans, transfer pricing documentation, crypto treasury reconciliations, statutory filings, audits, payroll, and accounts payable oversight. Coordinate external tax advisors, accounting firms, and outsourced finance providers while building scalable controls and proactively mitigating multi-jurisdiction compliance risks.

Evaluates multifamily housing developments and loan programs for compliance with LIHTC, FHA, and affordable housing requirements. Conducts property reviews and inspections, analyzes occupancy data and certifications, monitors loans and troubled properties, prepares compliance reports, responds to owner and tenant inquiries, delivers customer training, collects program fees, reports noncompliance, and helps update policies and procedures.

Leads investment and trading compliance for ETFs by translating prospectus and SAI investment restrictions into Bloomberg AIM rules, monitoring pre- and post-trade exceptions, identifying violations, and collaborating with trading, investment management, and compliance teams. The role also supports compliance with the Investment Company Act, Internal Revenue Code, SEC regulations, and enhancements to trade monitoring systems and processes.

Lead and scale the Sarbanes-Oxley (SOX 404) program, maintain the ICFR framework, manage control design/testing/remediation, oversee ITGC scoping, integrate controls for acquisitions, liaise with external auditors and the Audit Committee, and build and mentor a SOX compliance team.

Own partnership tax compliance for a portfolio of private funds: prepare and review Form 1065, Schedule K-1s, complex allocations, book-to-tax adjustments, capital account maintenance, manage filing calendars and K-1 delivery, research partnership tax issues, coordinate with accounting/auditors, and mentor associates.

Perform daily post-trade compliance testing using automated monitoring systems, investigate breaches, communicate with stakeholders, document compliance determinations, validate data, support reporting and UAT, and help implement rules and process improvements for investment portfolios.

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.

Lead development and operationalization of compliance framework for a new investment advisory offering. Own testing, surveillance, audits, risk assessments, regulatory responses, and policy implementation. Partner cross-functionally to build workflows, books-and-records controls, information barriers, and conflict-of-interest safeguards while promoting a fiduciary, client-first compliance culture pre-launch and post-launch.

Ensure 401(k) plan launches comply with product capabilities and regulations by auditing benefit analyses, plan documents, and system setups. Research conversion plan documents, identify and mitigate compliance risks, respond to high volumes of compliance inquiries, and collaborate with Sales Activation and onboarding teams to verify accuracy prior to plan launch.

Prepare, review, and submit regulatory compliance filings to the FCC, PUCs, and state agencies for telecom clients. Coordinate with clients, analyze financial and operational data, maintain regulatory knowledge, and ensure timely, accurate reporting to support compliance.

Support clients' 401(k) plans by performing compliance testing (ADP/ACP, Deductibility, Top Heavy, 401(a)(4), 402(g), 410(b), 415), preparing IRS filings (Forms 5500, 5330, 8955-SSA), drafting plan documents and amendments, reviewing QDROs, calculating contributions, consulting on plan design, assisting auditors and Relationship Managers, and maintaining ERISA/IRS regulatory knowledge.

The Portfolio Oversight Analyst will manage trading controls, code client investment guidelines, handle regulatory compliance, and support trading desks. Responsibilities include preparing regulatory reports, assisting in client due diligence, and participating in overnight calls for trading issues resolution.

The Compliance Analyst reviews contractual obligations, manages distributions post-closing, liaises with clients and internal teams, and ensures compliance and accuracy in fund distribution processes.

Prepare, review, and submit certified payroll reports; validate wage classifications, fringe calculations, and deductions; audit payrolls, reconcile discrepancies, and ensure federal/state prevailing wage compliance. Serve as payroll compliance resource and partner with HR, Finance, and project teams to resolve payroll and reporting issues.

Lead the credit union's lending compliance program, manage a team, design and execute risk-based compliance controls, oversee testing, fair lending, HMDA, and regulatory change management, support audits/exams, provide training, and partner with stakeholders to mitigate lending compliance risks.

Lead and support the Oversight & Supervision program, manage regulatory registrations and employee compliance records, conduct policy and procedure testing, develop supervision reports, draft procedures, onboard employees, summarize findings for management, and escalate trends to mitigate regulatory and operational risk.

Lead end-to-end compliance due diligence and control reviews for prospective payments clients. Assess complex business models, payment flows, and regulatory requirements; recommend onboarding decisions; advise on AML/BSA, sanctions, CIP/CDD/EDD; partner with banks, payment networks, and internal stakeholders; improve onboarding policies, SOPs, and governance; mentor junior compliance staff and monitor regulatory and card network developments.

Perform customer due diligence and regulatory verification for client onboarding. Review onboarding packages, perform identity and sanctions screening, validate ownership and licenses, complete Payment Network checks, maintain client files, document exceptions, support Senior Compliance Managers, and improve SOPs to ensure compliant onboarding.

The Tax Compliance Senior Associate prepares partnership tax returns, assists with tax provisions, and advises on renewable energy tax matters while managing compliance workflows and working cross-functionally.

Lead and scale Step’s compliance program across banking, lending, and payments regulations. Build policies, manage exams, audits, monitoring, and issue tracking. Partner cross-functionally and with sponsor banks to ensure compliant product development, translate regulatory change into action, and serve as primary regulator and auditor contact to support rapid growth.

Review and approve retail advertising and communications for compliance with federal/state insurance rules, FINRA and SEC regulations. Research and draft guidance, respond to regulator inquiries, manage SME review processes, maintain compliance materials, and communicate regulatory impacts to business units.

Lead and manage complex financial investigations, forensic accounting, and regulatory compliance engagements. Oversee case teams, conduct investigative interviews and internal control testing, write client-facing reports, manage client relationships, and drive business development while ensuring high standards of case delivery and team development.

Lead and manage the enterprise SOX control framework: scope, risk assessment, control design, documentation, testing, deficiency remediation, and auditor liaison. Partner cross-functionally to embed controls in transformations and drive automation and efficiency across the program.

Coordinate and support investment-adviser and ERISA compliance programs, perform SEC filings (13H/13F), review GIPS and sales literature, assist Advisory Solutions compliance operations, document SOPs, drive process improvements, and use data analytics and AI tools to identify compliance risks and support reporting and control testing.

Ensure Tilt's products, processes, and customer interactions comply with regulations. Manage complaints, perform UDAAP risk mapping and state regulatory research, test AI chatbot workflows, support audits, and drive process improvements through automation and data analysis.