CrawlJobs Logo
Block Logo Block · Consulting

Compliance Issues Management Advisory Lead

United States, Bay Area Employment contract 217800.00 - 326800.00 USD / Year · Job Posted July 03, 2026
Apply Position
Job Link Share

Job Description

As Block's compliance program grows in scale and complexity, we need dedicated, expert-level oversight of how compliance issues are identified, triaged, and governed. This role ensures emerging risks receive consistent, rigorous attention from the moment they surface — and builds the intake and lookback processes that keep our program audit-ready and regulator-defensible across AML/BSA, Sanctions, and Consumer Protection. You will manage key elements of the issues management lifecycle, with a focus on pre-issue identification and lookback oversight. This role sits within the Compliance Issues Management Oversight (CIMO) program on the Regulatory Compliance Strategy (RCS) team and reports to the RCS Lead. You'll be the centralized point of contact for teams surfacing potential compliance issues — advising them from discovery through formal submission, coordinating cross-functional remediation, and ensuring robust lookback governance. If you're looking for high-visibility, high-autonomy work at the intersection of compliance strategy, issues management, and technical execution, this role was built for you.

Job Responsibility

  • Serve as the centralized point of contact for teams identifying potential compliance issues — providing end-to-end advisory from discovery through formal submission and resolution, leading intake triage with consistent risk criteria and facilitating root cause analysis with subject-matter experts
  • Convene and lead cross-functional working groups to assess potential issues, classify scope, determine governance track assignments, provide challenge, and coordinate remediation approach, timelines, and ownership across teams — particularly where technical dependencies exist
  • Govern lookback activities across AML/BSA, Sanctions, and Consumer Protection remediations — ensuring lookback methodology is applied, tracked, and completed as a prerequisite to issue closure
  • Develop and maintain intake procedures, decision trees, and classification criteria to support consistent application across the organization
  • Perform quality reviews on issue documentation, action plans, evidence packages, and closure submissions to ensure they meet regulatory and internal standards
  • Identify and implement opportunities to automate issues management workflows using AI and automation tools to scale oversight capacity
  • Partner with the CIMO and enterprise issues management team on system-of-record integrity, reporting alignment, and tooling, and track and report on program metrics to inform leadership and regulatory reporting

Requirements

  • 8+ years of experience in compliance issues management, remediation oversight, or governance within a regulated financial services environment (banking, fintech, payments)
  • Deep knowledge of anti-money laundering (BSA/AML), Sanctions/OFAC, and Consumer Protection regulations, and associated risks and typologies
  • Demonstrated experience managing end-to-end issue lifecycles — from identification through root cause analysis, action plan development, remediation execution, and closure
  • Experience with regulatory examinations, enhanced regulatory oversight, and/or monitor engagement
  • Strong data and technical fluency — ability to interpret data outputs, evaluate model performance, understand system architectures, and assess technical remediation approaches
  • Excellent cross-functional and organizational, presentation, verbal, and written communication skills
  • Experience facilitating divergent conversations with senior management and driving accountability across stakeholders who do not report to you
  • Experience leveraging AI, automation, and workflow tooling to drive efficiency in compliance processes — including familiarity with how AI/ML models are used in compliance monitoring, and comfort operating in environments where automation augments human judgment

What we offer

  • Remote work
  • Medical insurance
  • Flexible time off
  • Retirement savings plans
  • Modern family planning
Block - All Job Offers

Looking for more opportunities?

Search for other job offers that match your skills and interests.

Suggested Tags: Frontend Developer Secretary Talent Manager Salesforce Administrator Data Analyst
Similar Jobs for

Compliance Issues Management Advisory Lead

8 matching positions

Product Management Lead Analyst

Insurance Business Governance Lead is responsible for managing a holistic and in...
Location
Location
Hong Kong SAR , Kowloon
Salary
Salary:
Not provided
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Bachelor’s degree/University degree or equivalent experience with strong strategic, analytical and product management skills
  • Must have exposure to minimum 5 years of business governance, risk, control, audit or compliance roles
  • Understanding of banking system and insurance regulatory landscape in Hong Kong
  • Proven ability to operate successfully in a complex and highly regulated business environment
  • Experience with governance, risk and control management, as well as engaging with 2nd/3rd lines of defense
  • Demonstrated ability to drive business process improvements with enhanced controls
  • Ability to move from granular detail to strategic level, with effective executive presentation skills
  • Comfortable operating with limited guidance and under significant time pressure
  • Ability to work in a team-oriented environment and lead a team towards a common goal
Job Responsibility
Job Responsibility
  • Lead the insurance business governance meeting in Hong Kong, ensuring strong governance and oversight of the Insurance Business, and oversees enforcement and adherence to Citi’s policies, standards and procedures
  • Partner and collaborate with 1st line and 2nd line of defense stakeholders to ensure governance routines and controls are effective and aligned to support business growth and strategies
  • Manage emerging risk evaluation, promptly reports control issues, identifies root causes, and recommends corrective actions to prevent potential breaches. Ensure that any insurance self-identified issues are addressed and closed in a timely manner and within the target due date
  • Track insurance Key Risk Indicators (KRI) in country and ensures that appropriate corrective actions are taken, and controls and monitoring are established, when required, for any observations or breaches in the business set KRI thresholds
  • Lead the regulatory change management in Hong Kong and enforce the requirements to Product Solutions and Advisory stakeholders for adherence. Drives the implementation of corrective actions for any observations or gaps identified in the regulatory change assessment in consultation with 2nd line of defense
  • Represent insurance business in any internal audit and compliance testing reviews, and regulatory examinations. Ensure that requested deliverables are submitted in a timely manner
  • preparation on process walkthroughs where all relevant functions are sufficiently briefed and aligned on the requirements
  • identification of any gaps or observation on the processes are raised as a self-identified issues to secure credit on the review results
  • Facilitate the implementation of Citi’s Control Assessment transformation activities for Insurance business. Identify and assess new controls or enhance existing controls to ensure they are adequately designed, effectively monitored and thoroughly tested, to address the evolving nature of the business and associated process, and regulatory requirement changes
  • Oversight on the applicable control requirements on insurance provider relationships which includes product compliance, ongoing governance and monitoring on quantity and quality of third party risk management to achieve satisfactory risk assessment results
What we offer
What we offer
  • access to telehealth options, health advocates, confidential counseling and more
  • Paid Parental Leave Policy
  • access to an array of learning and development resources
  • generous paid time off packages
  • resources and tools to volunteer in the communities
  • Fulltime
Read More
Arrow Right

Director, Advisory Compliance

Director, Advisory Compliance H/F. Based in France. In this role, you will be at...
Location
Location
France , Paris
Salary
Salary:
124901.55 - 168984.45 EUR / Year
amgen.com Logo
Amgen
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Doctorate degree and 4 years of experience in compliance, risk management, regulatory affairs, audit, law, or a related field
  • Master's degree and 8 years of experience in compliance, risk management, regulatory affairs, audit, law, or a related field
  • Bachelor's degree and 10 years of experience in compliance, risk management, regulatory affairs, audit, law, or a related field
  • 4 years of experience directly managing people and/or leadership experience leading teams, projects, programs or directing the allocation of resources
Job Responsibility
Job Responsibility
  • Leads and elevates the compliance strategic business partner role across a designated region, affiliate, business unit, or corporate function ensuring effective support for all business activities including Commercial, R&D, Government Relations, and Value & Access and Pricing and Pricing
  • Provides direct compliance support to Amgen executive leaders at the General Manager level and above
  • Directs and empowers the implementation and supports the oversight of comprehensive compliance and privacy programs, covering anti-corruption, anti-bribery, data privacy, and trade compliance across assigned region
  • Advises and influences business leadership and stakeholders on compliance strategy, interpretation of codes, legislation, and Amgen's policies, serving as a single point of contact for regional leadership teams and providing region-specific guidance as needed
  • Uses deep industry and professional expertise and proven risk analysis skills to provide strategic compliance advice on the application of Amgen WC&BE standards and requirements to find innovative compliance solutions that meet the needs of the businesses we support
  • Partners cross-functionally with Legal, Regulatory, HR, Finance, and other teams to align compliance initiatives and resolve complex compliance issues
  • Drives proactive risk management by overseeing regional and local risk assessments, anticipating vulnerabilities, and implementing effective mitigation strategies that strengthen business resilience
  • Leads innovation in compliance by integrating and overseeing AI-driven compliance monitoring and analytics systems, leveraging advanced technologies to proactively identify, assess, and mitigate compliance risks across regions
  • Guides responsible AI use by advising on the ethical, regulatory, and privacy implications of AI deployment in business operations, ensuring alignment with evolving laws and industry standards
  • Supports investigations, incident management, and protocol adherence, collaborating with global and regional investigation teams, audit, and monitoring functions, ensuring compliance with local compliance requirements
  • Fulltime
Read More
Arrow Right

Senior Lead Compliance Officer - Structured Products Group (SPG)

We are seeking a highly experienced Senior Lead Compliance Officer to support th...
Location
Location
United States , Charlotte; New York
Salary
Salary:
159000.00 - 305000.00 USD / Year
https://www.wellsfargo.com/ Logo
Wells Fargo
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • Advanced degree or professional certification (e.g., JD, CRCM)
  • Strong expertise in FINRA, SEC, FRB, and OCC regulations related to broker-dealer, ABS, and capital markets activities
  • Experience with Fixed Income and Structured Products compliance programs
  • Familiarity with traditional lending regulations (e.g., Reg B, FCRA, UDAAP, SCRA, Reg W, Reg O, FDPA)
  • Knowledge of CFPB and consumer lending regulatory frameworks
  • Proven experience drafting policies and procedures and delivering compliance training
  • Strong communication, analytical, and problem-solving skills, with the ability to produce executive-ready materials
  • Demonstrated ability to manage multiple priorities in a fast-paced environment
  • Ability to work independently and collaboratively in a team-oriented setting
Job Responsibility
Job Responsibility
  • Serve as a subject matter expert on regulatory requirements impacting SPG, including Regulation AB, Regulation RR, Volcker Rule, TRACE, and other applicable FINRA, SEC, FRB, and OCC rules
  • Execute and support day-to-day compliance activities related to Structured Products origination, syndication, and lending, serving as a primary compliance resource for SPG
  • Provide compliance advisory support for ABS issuance, syndication, and lending activities, including responding to stakeholder inquiries and issue escalation
  • Oversee and challenge Front Line execution of the SPG compliance program, ensuring adherence to regulatory requirements and internal policies
  • Develop, implement, and monitor risk-based compliance programs, controls, and initiatives aligned to the SPG mandate
  • Provide regulatory compliance risk expertise for high-risk projects, new products, and business initiatives
  • Conduct compliance risk assessments and support regulatory exams, audits, and inquiries
  • Monitor and assess regulatory developments, industry practices, and emerging risks, evaluating their impact on SPG activities and internal policies
  • Support regulatory change management, including corrective action planning and execution tracking
  • Prepare and deliver management-ready communications and reporting on compliance issues, risks, and activities
What we offer
What we offer
  • Health benefits
  • 401(k) Plan
  • Paid time off
  • Disability benefits
  • Life insurance, critical illness insurance, and accident insurance
  • Parental leave
  • Critical caregiving leave
  • Discounts and savings
  • Commuter benefits
  • Tuition reimbursement
  • Fulltime
Read More
Arrow Right

Compliance Advice Lead

Excellent opportunity to join Admiral as Compliance Advice Lead. This role is to...
Location
Location
United Kingdom , Cardiff
Salary
Salary:
Not provided
admiralgroup.co.uk Logo
Admiral Group Plc
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Extensive compliance advisory experience gained within General Insurance
  • Experience of managing a team within a Compliance function
  • In depth understanding of the Financial Conduct Authority regulatory framework and good experience of all areas of the Insurance Industry
  • Ability to balance these with Admiral’s objectives
  • Maintain a customer-centric outlook allied to a clear understanding of the processes within the business
  • Use initiative & proactivity to progress issues independently and quickly assimilate issues and necessary actions, seeking clarity and/or support as required to secure the right outcome
  • Use highly effective planning and organising skills to support task management and problem-solving and demonstrate excellent time management capability
  • Excellent communication, leadership, relationship building and influencing skills at a strategic level with the ability to communicate effectively to a variety of audiences, including senior boards and committees
Job Responsibility
Job Responsibility
  • Lead the EUI Compliance Advice Team to provide regulatory advice to support the needs of the business whilst ensuring regulatory obligations are met which result in good customer outcomes
  • Be the SME for the team in providing advice, guidance, direction, and interpretation across EUI in a timely and accurate manner
  • Provide compliance oversight and challenge on EUI product developments through challenging submissions into the Product and Pricing Committee and Product and Pricing Working Groups
  • Provide oversight and challenge to the business implementation of regulatory change, ensuring compliance with regulatory requirements, guidelines and principles
  • Review and challenge EUI’s non-financial regulatory reporting
  • Support and deputise for the EUI Head of Compliance in their duties in leading the 2nd line compliance function as required
  • Act as a mentor to ensure an appropriate level of skill, capability, training, and competency of the team so they are seen as business matter experts within the wider organisation
  • Develop a talented team ensuring that the culture of the team reflects Admirals four pillars of “Communication, Equality, Reward and Recognition and Fun”
  • Maintain a thorough understanding of market dynamics and emerging regulatory themes to support recommendations and encourage positive change within the business
  • Attend Steering Groups, Committees and deputises for HOD/CRO when required
What we offer
What we offer
  • Everyone receives 33 days holiday (including bank holidays) when they join us, increasing the longer you stay with us, up to a maximum of 38 days (including bank holidays)
  • You also have the option to buy or sell up to an additional five days of annual leave
  • All colleagues eligible for up to £3,600 of free shares each year after one year of service
  • Financial & Mortgage Advice
  • 24-Hour Ecare
  • Cycle to Work Scheme
  • Annual Holiday Allowance
  • Flexible Working
  • Simply Health
  • Private Health Cover
  • Fulltime
Read More
Arrow Right

Aml compliance enterprise payments advisory manager

The Anti-Money Laundering (AML) Enterprise Payments Compliance Advisor Manager p...
Location
Location
United States , McLean; Chicago; Plano; New York; Richmond; Riverwoods
Salary
Salary:
138100.00 - 189200.00 USD / Year
capitalone.com Logo
Capital One
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Bachelor’s Degree or Military experience
  • At least 5 years of experience in compliance, audit, or legal
  • At least 5 years of experience in payment operations
Job Responsibility
Job Responsibility
  • Providing input on the end to end payment processing, highlighting AML risks
  • Providing guidance on business policies, standards, and procedures
  • Developing and leading department training, as appropriate
  • Providing compliance advice on complex projects
  • Providing guidance on controls over regulatory requirements and line of business monitoring of those controls
  • Providing input on business regulatory requirements
  • Performing money laundering risk assessment reviews
  • Partnering with first line to ensure AML requirements are appropriate and adhered to
  • Review inquiries from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary
  • Identify trends in data and proactively advise on identified external and internal risks
What we offer
What we offer
  • performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI)
  • comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being
  • Fulltime
Read More
Arrow Right

Senior Internal Auditor

We are looking for a Senior Internal Auditor to join a retail organization in Ch...
Location
Location
United States , Chesapeake
Salary
Salary:
Not provided
https://www.roberthalf.com Logo
Robert Half
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Bachelor’s degree in accounting, finance, business administration, or a related discipline
  • At least 3 years of experience in internal audit, external audit, public accounting, compliance, or a related finance function
  • Solid knowledge of internal controls, audit methodologies, and recognized control frameworks such as Sarbanes-Oxley
  • Experience performing operational, compliance, or corporate internal audits in a structured business environment
  • Ability to work independently while managing multiple priorities with strong organization and attention to detail
  • Effective analytical, communication, and problem-solving skills, with the ability to influence stakeholders through well-supported recommendations
  • Familiarity with information technology processes and related control considerations
  • Willingness and ability to travel approximately 20% to 25% as business needs require
Job Responsibility
Job Responsibility
  • Lead and support risk-based audits and advisory reviews across retail locations, distribution centers, and corporate functions
  • Partner with business stakeholders to define audit objectives, assess key risks, map processes, and establish project timelines and resource needs
  • Create audit documentation such as planning materials, scope summaries, testing procedures, status communications, and related logistical plans
  • Perform detailed testing of business processes and internal controls to evaluate effectiveness and identify areas of exposure
  • Analyze audit results to determine underlying causes of issues and develop practical recommendations that improve control performance, efficiency, and risk reduction
  • Prepare organized workpapers and concise audit reports that clearly support findings, conclusions, and recommended actions
  • Manage audit closeout activities, including reviewing results with stakeholders, finalizing documentation, and collecting feedback on the engagement
  • Monitor the status of prior audit issues and verify that corrective actions are completed appropriately and on time
  • Provide day-to-day guidance to assigned team members, support project leadership responsibilities, and contribute to the development of internal audit staff
  • Travel to business sites as needed, including retail and distribution locations, for on-site audit work and operational reviews
What we offer
What we offer
  • Medical
  • vision
  • dental
  • life and disability insurance
  • enrollment in company 401(k) plan
  • Fulltime
Read More
Arrow Right

Avp - Tax Information Reporting Senior Analyst

The Tax Sr. Analyst is a seasoned professional role. Applies in-depth disciplina...
Location
Location
India , Mumbai
Salary
Salary:
Not provided
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 5-8+ years of relevant experience
  • Tax technical SME for U.S. Chapter 3/NRA and Qualified Intermediary (QI), Chapter 4/FATCA, OECD CRS regimes
  • Bachelors degree
Job Responsibility
Job Responsibility
  • Tax technical SME for U.S. Chapter 3, Chapter 4, OECD CRS regimes (or demonstrated ability and desire to develop as SME)
  • Lead certain workstreams within the Assurance & Compliance Team (ACT) e.g. preparation of tax forms (W-8, W-9, FATCA and CRS) for all Citi entities
  • Develop deep tax technical and institutional knowledge at Citi and assist with research and drafting of responses to tax technical inquiries and supporting advisory workstream
  • Assist with build out of additional governance around reconciliations of tax returns (F-1042 and F-945) vs. credit carry forwards and transcripts
  • Assist with adhoc tax advisory projects as directed by manager
  • Assist with preparation internal and external tax audits and exams from the U.S. IRS and local tax authorities (LTAs)
  • Assist with build out of additional governance framework around LTA inquiries, audits and information requests
  • Actively contribute towards creation of TIR training content
  • Directs day-to-day work of junior level employees without direct managerial responsibilities
  • Perform other duties and functions as assigned
  • Fulltime
Read More
Arrow Right
New

It Change & Release Manager

The IT Change & Release Manager is responsible for leading enterprise-wide SAP c...
Location
Location
United States
Salary
Salary:
Not provided
valvoline.com Logo
Valvoline
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Bachelor's degree in Information Systems, Computer Science, Business, Engineering, or related discipline required
  • Equivalent combination of education and relevant experience may be considered
  • 8+ years of SAP experience supporting enterprise SAP environments
  • 5+ years of experience in change management, release management, deployment management, application lifecycle management, or related IT disciplines
  • Experience supporting SAP S/4HANA, SAP ECC, and complex SAP landscapes across multiple environments
  • Experience managing enterprise change governance processes and leading Change Advisory Board (CAB) activities
  • Experience supporting multiple full lifecycle SAP implementations, upgrades, migrations, or major enhancement programs
  • Experience working within global manufacturing or complex multi-site organizations preferred
  • Demonstrated experience supporting production and project delivery activities simultaneously within dual-track delivery environments
  • Experience leading cross-functional teams and coordinating activities across technical, functional, operational, and business stakeholders
Job Responsibility
Job Responsibility
  • Own and administer enterprise SAP change governance processes, ensuring compliance with established controls, approval workflows, and audit requirements
  • Lead SAP-related Change Advisory Board (CAB) activities, including change review, risk assessment, prioritization, scheduling, approvals, and stakeholder communications
  • Ensure change requests contain complete business impact assessments, testing evidence, implementation plans, dependency analysis, and rollback procedures
  • Drive continuous improvement of change governance practices to improve release quality, transparency, and operational stability
  • Manage SAP release planning, scheduling, deployment readiness, and execution activities across production and project landscapes
  • Coordinate release calendars, transport sequencing, dependency management, and implementation activities across technical and functional teams
  • Facilitate release readiness reviews and go-live decision processes for enhancements, projects, upgrades, and maintenance releases
  • Support recurring release cycles and major SAP upgrades while minimizing business disruption
  • Administer and optimize SAP Cloud ALM capabilities supporting implementation, operations, monitoring, testing visibility, release management, and deployment governance
  • Maintain end-to-end traceability across requirements, testing activities, transports, releases, and production deployments
  • Fulltime
Read More
Arrow Right