Top Compliance Analyst Jobs

The Senior Compliance Analyst develops and administers compliance programs, manages compliance policies, conducts reviews, and oversees compliance training and inquiries in options trading.

The Senior Compliance Analyst will ensure regulatory compliance, investigate inquiries, guide teams on compliance issues, and maintain procedural integrity, leveraging AI for efficiency.

This role ensures compliance with US Government regulations, advises on labor policies, improves processes, and addresses audit findings.

The Compliance Analyst will assist in compliance with internal policies, the Bank Secrecy Act, and anti-money laundering regulations, performing investigations, analysis, and training within a collaborative environment.

The Senior Compliance Analyst supports Audax Private Equity's compliance program, conducting reviews, enforcing policies, overseeing service providers, and assisting with regulatory filings and examinations.

Monitor and resolve pre-trade compliance alerts and post-trade exceptions, apply SEC and client guidelines, prepare regulatory reports, onboard new accounts and set compliance rules, improve controls and processes, and coordinate with trading, portfolio management, operations, and global support teams to ensure compliant trading activity.

Ensure the credit union complies with federal, state, and local banking laws by monitoring regulatory changes, conducting reviews and risk assessments, researching compliance questions, supporting audits, delivering training, investigating issues, preparing management reports, and assisting ERM/BCP efforts. Complete required BSA/OFAC training and recommend corrective actions.

The Compliance Analyst manages compliance oversight, monitors regulatory adherence, and enhances internal controls, providing support to trading staff and ensuring data integrity.

The DC Compliance Analyst will manage client accounts, understand IRS regulations, perform nondiscrimination testing, and prepare audit packages and government filings.

Support execution of the IT SOX compliance program: perform walkthroughs and control testing, collect evidence, maintain control documentation, evaluate ITGCs and application controls, coordinate remediation with control owners, support auditors, assist in IT risk assessments and training for control owners, and prepare status reports and dashboards.

Lead global sanctions compliance monitoring, resolve complex escalations, analyze due diligence and ABAC matters, prepare regulatory reports, deliver training, and partner with international teams to strengthen enterprise-wide sanctions controls and financial crimes prevention.

The Senior Compliance Analyst oversees compliance analysis, documentation review, and policy development while ensuring adherence to financial regulations.

The Payroll Tax & Compliance Analyst handles payroll tax filings, ensures multi-state compliance, reconciles accounts, and manages audit readiness while supporting integration projects.

The Senior Compliance Analyst manages compliance projects, prepares IRS filings, conducts nondiscrimination testing, and ensures regulatory compliance for 401(k) plans.

The role involves designing a DCAA-compliant accounting system using QuickBooks Online and GovBooks, ensuring audit readiness, and managing government contract billing and reporting.

The Compliance Specialist supports compliance programs through data analysis, testing, and surveillance, recommending improvements and monitoring developments.

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.

Support the Compliance department by monitoring regulatory changes, executing rate changes, performing risk-based self-assessments, assisting with compliance management and regulatory exams, providing guidance on remediation, and participating in projects and training to ensure the credit union meets banking and BSA compliance requirements.

Perform second-line quality control of the banks AML/CFT program, review suspicious activity reports, file CTRs, support FinCEN 314(a)/(b) reviews, assist audits and regulatory exams, and recommend compliance enhancements.

Support development and implementation of mortgage compliance programs, maintain NMLS/licensing and regulatory filings, perform HMDA and fair lending analytics, assist with regulatory changes, exams, audits, QC audits and remediation, and provide subject-matter support for federal and state mortgage regulations.

Monitor and review treasury activities for compliance, support cash management and forecasting, document procedures and controls, validate financial reports, liaise with banks, assist capital structure and debt management strategy, support reports and presentations, and participate in audits and ad-hoc projects.

Support bank regulatory compliance by conducting reviews, testing procedures, researching regulations, reviewing loan and deposit files for CIP, TRID, Reg B/FCRA, flood insurance, and drafting procedures to ensure adherence to requirements.

The Compliance Analyst tracks US federal regulations, ensures compliance, conducts assessments, communicates updates, and manages compliance-related documentation and customer communications.

The Compliance Analyst will track and review regulations, conduct compliance assessments, manage compliance design specifications, and communicate with various stakeholders to ensure compliance with regulatory standards in mortgage and non-mortgage loan servicing.

The Compliance Analyst investigates potential Anti-Money Laundering activities, produces reports, and collaborates with partners for effective case management.