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Compliance Monitoring Testing Jobs (NOW HIRING)

Specialty Capital

Compliance Director

Great Neck, NY · On-site

$85K - $110K/yr

Support execution of compliance monitoring and testing plans, including documentation of results and remediation tracking. BSA / AML / OFAC Support * Support the execution of Specialty Capital's BSA ...

Socket.dev

Regulatory Compliance Manager

Newport, OR · On-site

$85 - $115/hr

The position focuses on monitoring, testing, regulatory change management, training, and advisory support. RequirementsResponsibilities: * Assist in maintaining and enhancing the Bank's Compliance ...

New

BOK Financial

Wealth Compliance Officer

Tulsa, OK

You'll gain exposure to a broad range of securities and wealth compliance activities, including monitoring, testing, and advisory support across institutional investing, retail sales, public finance ...

BOK Financial

Wealth Compliance Officer

Tulsa, OK · On-site

You'll gain exposure to a broad range of securities and wealth compliance activities, including monitoring, testing, and advisory support across institutional investing, retail sales, public finance ...

BOK Financial

Wealth Compliance Officer

Addison, TX · On-site

You'll gain exposure to a broad range of securities and wealth compliance activities, including monitoring, testing, and advisory support across institutional investing, retail sales, public finance ...

BOK Financial

Wealth Compliance Officer

Tulsa, OK

You'll gain exposure to a broad range of securities and wealth compliance activities, including monitoring, testing, and advisory support across institutional investing, retail sales, public finance ...

SteerBridge

Director of Compliance

Vienna, VA · On-site

Compliance Monitoring, Testing & Reporting * Manage compliance monitoring and testing activities, including tracking findings, corrective actions, and remediation efforts. * Oversee compliance ...

SteerBridge

Director of Compliance

Vienna, VA · Hybrid

$150K - $190K/yr

Compliance Monitoring, Testing & Reporting * Manage compliance monitoring and testing activities, including tracking findings, corrective actions, and remediation efforts. * Oversee compliance ...

SteerBridge

Director of Compliance

Vienna, VA · Hybrid

Compliance Monitoring, Testing & Reporting * Manage compliance monitoring and testing activities, including tracking findings, corrective actions, and remediation efforts. * Oversee compliance ...

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How much do compliance monitoring testing jobs pay per hour?

As of Aug 18, 2026, the average hourly pay for compliance monitoring testing in the United States is $24.25, according to ZipRecruiter salary data. Most workers in this role earn between $18.27 and $26.44 per hour, depending on experience, location, and employer.

What is compliance monitoring testing?

Compliance Monitoring Testing is a process used by organizations to ensure that their operations and activities adhere to relevant laws, regulations, and internal policies. This involves regularly reviewing and evaluating procedures, transactions, and controls to detect and prevent potential compliance violations. The goal is to identify areas of risk, implement corrective actions, and promote a culture of compliance throughout the organization. Typically, this function is critical in industries like finance, healthcare, and insurance where regulatory requirements are strict. Compliance monitoring helps mitigate legal risks and maintain organizational integrity.

What are the key skills and qualifications needed to thrive as a compliance monitoring testing professional?

To thrive in Compliance Monitoring Testing, you need a solid understanding of regulatory requirements, risk assessment, and audit methodologies, often supported by a degree in finance, law, or a related field. Familiarity with compliance management systems, data analytics tools, and professional certifications such as Certified Compliance & Ethics Professional (CCEP) are highly valued. Attention to detail, analytical thinking, and strong communication skills help professionals excel in identifying and reporting compliance gaps. These skills and qualities are crucial to ensure organizations adhere to laws and regulations, reducing the risk of regulatory breaches and reputational damage.

What are some common challenges faced in a compliance monitoring testing role, and how can they be addressed?

Professionals in Compliance Monitoring Testing often encounter challenges such as staying current with evolving regulations, managing large volumes of data, and ensuring consistent testing methodologies across different business units. Addressing these challenges requires ongoing training, strong communication with regulatory and business teams, and the use of advanced data analytics tools to streamline testing processes. Building collaborative relationships with stakeholders and proactively identifying areas of potential non-compliance can also help ensure effective monitoring and timely issue resolution.

What is the difference between Compliance Monitoring Testing vs Compliance Auditing?

AspectCompliance Monitoring TestingCompliance Auditing
PurposeRegularly assesses ongoing compliance with regulationsEvaluates overall compliance effectiveness over a period
FrequencyPeriodic, ongoingTypically scheduled, comprehensive
ScopeSpecific processes or controlsEntire compliance program or system
CertificationsOften requires knowledge of industry standardsRequires similar certifications, like CPA or CIA

Compliance Monitoring Testing focuses on ongoing, routine checks of specific controls to ensure continuous compliance, while Compliance Auditing involves a thorough review of the overall compliance program at scheduled intervals. Both roles require similar credentials and are essential for maintaining regulatory standards in the industry.

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What job categories do people searching Compliance Monitoring Testing jobs look for?

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Infographic showing various Compliance Monitoring Testing job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 84% Full Time, 11% Part Time, and 4% Contract. Highlights an 92% Physical, 3% Hybrid, and 5% Remote job distribution, with an average salary of $50,446 per year, or $24.3 per hour.

Compliance Director

Specialty Capital

Great Neck, NY • On-site

$85K - $110K/yr

Full-time

Re-posted 18 days ago

Job description

Role Overview


Specialty Capital is seeking a Compliance Director to support the build, implementation, and ongoing operation of our Compliance Management System (CMS) as we partner with a regulated bank sponsor. This role plays a critical part in ensuring regulatory readiness, supporting bank examinations and audits, and maintaining strong controls across lending, servicing, marketing, and third-party relationships.

This is a hands-on, execution-focused role, ideal for a candidate with foundational experience in bank or fintech compliance and BSA/AML, who understands regulatory expectations and thrives in a fast-growing environment.


Key Responsibilities


Compliance Management System (CMS)

  • Support the day-to-day operation of Specialty Capital’s Compliance Management System (CMS).
  • Maintain and update compliance policies, procedures, risk assessments, and applicability matrices.
  • Assist with preparation of materials for bank partner due diligence, audits, and ongoing monitoring.


Regulatory Compliance

  • Support compliance oversight across applicable laws and regulations, including:
  • ECOA / Regulation B
  • FCRA / FACTA
  • TILA / Regulation Z
  • UDAAP / UDAP
  • CAN-SPAM, TCPA / TSR
  • E-SIGN, ADA
  • SCRA
  • Applicable state lending and disclosure requirements
  • Track regulatory changes and assist in assessing applicability and operational impact.
  • Support execution of compliance monitoring and testing plans, including documentation of results and remediation tracking.


BSA / AML / OFAC Support

  • Support the execution of Specialty Capital’s BSA/AML/CFT program, including:
  • Customer Identification Program (CIP)
  • Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD)
  • Beneficial ownership documentation
  • OFAC screening support
  • Assist in maintaining BSA/AML policies, procedures, and risk assessments.
  • Support SAR-related documentation and escalation processes (as applicable).
  • Maintain BSA training records and assist with employee training coordination.
  • Support bank partner and auditor requests related to BSA/AML controls.


Applicant & Customer-Facing Disclosures

  • Assist with review, maintenance, and version control of:
  • Loan agreements and promissory notes
  • Adverse Action Notices
  • Privacy Notices
  • Applicant and guarantor disclosures
  • Help validate the accuracy and consistency of disclosures generated by internal systems and third-party vendors.


Complaints & Issues Management

  • Support the complaint management program, including logging, tracking, and trend analysis.
  • Assist with issues management, ensuring corrective actions are documented, tracked, and completed.
  • Help incorporate prior audit findings and regulatory feedback into ongoing monitoring activities.


Third-Party Risk & Vendor Oversight

  • Support compliance aspects of third-party risk management, including:
  • Vendor due diligence and onboarding documentation
  • Review of SOC reports, certifications, and compliance artifacts
  • Tracking ongoing monitoring requirements
  • Coordinate with Operations, Legal, and IT on vendor compliance obligations.


Training & Reporting

  • Assist in coordinating compliance and BSA/AML training for employees and contractors.
  • Maintain training schedules, logs, and completion records.
  • Prepare compliance summaries and reporting for internal leadership and bank partners.


Qualifications


Required

  • 1+ year of experience in compliance, BSA/AML, risk, audit, or regulatory support within: Banking, Fintech, Consumer or small-business lending
  • Working knowledge of core U.S. financial-services regulations and BSA/AML fundamentals.
  • Hands-on experience supporting or contributing to a Compliance Management System (CMS)
  • (e.g., policy management, monitoring/testing, issue tracking, audits, or exam support)
  • Strong organizational skills and attention to detail.
  • Ability to work cross-functionally with Operations, Credit, Product, and Technology teams.
  • U.S.-based and authorized to work in the United States.Preferred
  • Experience supporting bank sponsor relationships or regulatory examinations.
  • Exposure to Compliance Management Systems (CMS).
  • Familiarity with complaint management, monitoring/testing, or audit support.
  • Bachelor’s degree in Business, Finance, Risk, Compliance, or related field.