Top Compliance Analyst Jobs

Perform KYC, customer due diligence, and consumer compliance case reviews for Mastercard’s Open Finance business. Manage case queues, refresh reviews, documentation, risk ratings, escalations, and service-level commitments. Track KPI and KRI reporting, review sales pipelines for higher-risk customers, identify automation opportunities, and support cross-functional compliance projects. Apply KYC and AML requirements across banking, payments, and financial-services operations.

Oversee broker-dealer regulatory compliance programs, investigate regulatory inquiries, support examinations, maintain policies and supervisory procedures, assist with compliance training, manage surveillance systems, prepare reports, maintain books and records, and review communications and advertisements for regulatory adherence.

Provides U.S.-hours compliance oversight for personal trading, employee disclosures, licensing, registrations, examinations, and continuing education. Reviews trade preclearance, securities transactions, exceptions, U4/U5 filings, registration issues, and regulatory requirements; conducts research, resolves employee-specific matters, maintains audit-ready records, and escalates higher-risk issues. Oversees Manila-based processing through quality control, guidance, training, reporting, reconciliation, and workflow improvement. Supports audits, regulatory examinations, controls, procedures, and technology enhancements.

Develops and administers a firm-wide compliance program for an options market-making and proprietary trading broker-dealer. Responsibilities include maintaining policies, conducting risk assessments and compliance reviews, overseeing surveillance, managing employee disclosures and information barriers, supporting regulatory filings, maintaining FINRA CRD records, coordinating vendors, and delivering compliance training. The role requires strong knowledge of SEC, FINRA, and CBOE rules, options trading, project management, and securities licensing.

Investigate suspected fraud, analyze transactions and account activity, assess alerts, manage escalations, support clients, collaborate with account holders and law enforcement, prepare case summaries and SARs, and improve fraud prevention processes using current industry and AML trends.

Supports global payroll operations, compliance, tax, reconciliations, reporting, and audit readiness across multiple regions. Analyzes payroll data, identifies discrepancies and risks, develops dashboards, manages controls and documentation, and partners with regional teams, Finance, Tax, HR, and external vendors. Also supports payroll programs, system implementations, UAT, process improvements, and third-party service delivery.

Manages and reconciles more than 150 federally funded and other sponsored-project accounts using Workday and BA4 Priority. Reviews transactions for accuracy, documentation, business purpose, allocability, and compliance; maintains encumbrances; investigates unexpected charges; processes corrections; and prepares monthly reports for faculty and principal investigators. The role also supports account oversight, compliance controls, procedure improvements, and communication regarding funding levels and account expirations.

Reviews financial transactions, tax returns, reimbursement claims, and refund claims for compliance with regulations and documentation requirements. Prepares work papers, spreadsheets, reports, and recommendations; contacts taxpayers to request records and explain procedures; responds to information requests; computes Nebraska tax adjustments; and discusses findings with Revenue professionals.

Supports the bank’s regulatory compliance management program through regulatory change tracking, compliance monitoring and testing, control documentation, impact assessments, reporting, audit preparation, and policy maintenance. The role uses GRC systems to document requirements, findings, evidence, and action plans; collaborates with business and risk stakeholders; and helps deliver compliance training. It is a second-line-of-defence position focused on regulatory adherence within a regulated financial institution.

Performs risk-based lending compliance monitoring, testing, HMDA data-integrity reviews, regulatory reporting validation, and root-cause analysis. Documents findings, tracks corrective actions, supports audits and examinations, assesses lending risks, and advises business units on regulatory changes, policies, disclosures, and controls. Maintains knowledge of lending regulations including HMDA, ECOA, RESPA, TILA, FCRA, fair lending, and UDAAP requirements. Develops procedures, workpapers, dashboards, and management reports while maintaining second-line independence and confidentiality.

Supports the Compliance/BSA Officer with Bank Secrecy Act, anti-money laundering, OFAC, and regulatory compliance activities. Reviews new accounts, customer due diligence, beneficial ownership, transaction-monitoring alerts, high-risk customers, unusual activity referrals, CTRs, Reg CC holds, and compliance exceptions. Performs regulatory research, documentation, testing, data validation, quality control, and corrective-action tracking while escalating potential concerns and maintaining accurate records.

The Payments Compliance Analyst evaluates fraud concerns, resolves account validation exceptions, performs bank and internal reconciliations, and coordinates payment issues with banking partners and customers. The role supports transaction processing, payment transfers, fee sweeping, reporting, risk mitigation, and process improvements. It requires strong attention to detail, communication, discretion with PII, Excel proficiency, and flexibility for occasional evening or weekend work.

Supports trading-platform compliance through maintaining Written Supervisory Procedures, coordinating AML and SCI initiatives, tracking projects, assisting with regulatory exams and audits, and responding to subscriber questions. The role collaborates with Operations, Technology, Compliance, and Subscriber Services teams while analyzing data and supporting remediation and special projects.

Owns company travel and expense compliance, including government per diem and lodging requirements, Ramp policy administration, expense reviews, and employee guidance. Supports FP&A through budgeting, forecasting, variance and trend analysis, financial reporting, planning tools, and process improvements. Partners with finance, accounting, operations, and program management to strengthen controls, forecasting accuracy, and business visibility.

Supports mutual fund, investment adviser, and SEC-registered insurance product compliance. Responsibilities include preparing regulatory filings, analyzing investment adviser requirements, developing fund and adviser board materials, and supporting variable annuity, registered index-linked annuity, and variable life products. The role requires strong attention to detail, proofreading, organization, deadline management, and collaboration with legal, compliance, investment, and product teams.

Executes SOX compliance planning, scoping, control assessments, risk evaluations, SOC reviews, deficiency remediation, certifications, and reporting. Partners with control owners, auditors, risk management, and business leaders to maintain effective internal controls over financial reporting. Coordinates user access reviews, ERM and fraud-related assessments, accounting business continuity planning, training, policies, and quarterly SOX committee activities.

Reviews marketing and customer-facing materials for regulatory compliance, performs monitoring and control testing, handles KYB/KYC and transaction-monitoring escalations, supports enhanced due diligence, maintains compliance records, assists with audits and examinations, partners with internal teams, and tracks employee compliance training.

Supports the regulatory compliance and enterprise risk program for fintech lending operations. Responsibilities include post-close quality assurance reviews, vendor assessments, bank-partner questionnaires, licensing and renewal tracking, audit readiness, regulatory monitoring, SOC compliance workstreams, and remediation efforts. The role also maintains compliance documentation, reporting, and trackers while partnering with bank partners, auditors, and senior leadership.

Serves as the subject matter expert for individual disability insurance product compliance and supports supplemental health products. Monitors and interprets federal and state regulations, assesses risks, performs compliance testing, develops policies and guidance, supports product filings, and advises cross-functional teams. The role also assists with audits and regulatory examinations, develops training materials, reviews customer-facing materials, and participates in industry activities.

Oversee investment compliance for public and private market portfolios, including due diligence, disclosure reviews, policy and guideline monitoring, trade error resolution, custodian coordination, annual compliance questionnaires, reporting metrics, and special projects. The role works with investment strategy, legal counsel, external managers, consultants, and pension system stakeholders to ensure adherence to applicable laws and investment requirements.

Develops compliance analytics for AML, sanctions, and consumer compliance programs. Builds data pipelines, dashboards, scorecards, automated reporting, and data quality processes using dbt, GitLab, Python, SQL, Tableau, and Snowflake. Translates regulatory requirements into actionable insights, risk indicators, and metrics while communicating findings to senior management and regulatory stakeholders.

Conducts U.S. Customs compliance audits, manages post-entry corrections and bond activities, responds to customs and government inquiries, monitors ABI and compliance data, maintains powers of attorney and records, supports ACH and PMS programs, delivers training, and advises brokerage teams and customers on import regulations and trade compliance.

Supports broker-dealer and investment-advisor compliance by reviewing annuity applications and 1035 exchanges, conducting representative surveillance, performing KYC and CDD checks, maintaining Written Supervisory Procedures, coordinating compliance reporting, and overseeing regulatory training. The analyst advises business partners on FINRA and SEC requirements, assists with compliance projects, and reports to the Chief Compliance Officer.

Supports the Deposits Compliance team in operating the Compliance Management System for bank and fintech partner programs. Conducts due diligence, monitoring, reviews, control and risk-indicator assessments, policy and marketing-material reviews, issue research, remediation planning, and regulatory compliance support. Advises on consumer protection requirements involving payments, cards, checks, ACH, wires, and instant payments while collaborating with business units, partners, Legal, Risk, and Audit teams.

Manages secondary-market quality control audits, HMDA data reviews, compliance monitoring, regulatory reporting, audit preparation, and issue follow-up. Maintains compliance policies, procedures, reports, and training materials; supports Compliance Committee activities and develops strong relationships with business units and third parties. Requires effective communication, attention to detail, confidentiality, independent work, and proficiency with Microsoft Office. Travel may be required as necessary.