Top Compliance Analyst Jobs

Conduct first-pass compliance reviews of affordable housing resident files across LIHTC, HUD Section 8, and USDA programs. Apply established rules to income, assets, deductions, certifications, and recertifications; verify automated outputs; document findings; escalate ambiguous cases; support testing and UAT; and meet accuracy, volume, and SLA targets.

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

Execute KYC/KYB onboarding and transaction monitoring: verify documents, analyze beneficial ownership, sanctions/PEP/adverse media screening, conduct enhanced due diligence, draft SARs, send RFIs, perform KYC refreshes, support policy improvements, and monitor emerging financial crime trends including on-chain analytics.

Monitor and enforce U.S. Government financial compliance (FAR, CAS, GAAP/SOX); identify and remediate control weaknesses; support CAS remediation; develop compliance training and communications; liaise with DCAA/DCMA during audits; educate teams and drive continuous improvement.

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

Lead and enhance Circle's IT SOX compliance program by evaluating ITGCs, automated and IT-dependent controls, documenting SOX-ready materials, coordinating testing and remediations, liaising with IT, Security, Finance and auditors, and driving control design for system implementations and new product launches.

Support government contracting cost accounting compliance by ensuring FAR/DFARS/CAS adherence, preparing incurred cost submissions, provisional and forward pricing rate proposals, assisting with DCAA/DCMA audits, reviewing contracts for pricing compliance, maintaining internal controls, and collaborating with cross-functional teams to identify and remediate compliance risks.

Conduct enhanced due diligence reviews for high-risk customers, assess transaction activity, perform customer risk assessments, manage escalations, and provide AML/CFT subject matter expertise. Lead EDD enhancement projects, monitor global regulatory requirements, draft policies and guidance, analyze beneficial ownership structures, and train employees on compliance procedures.

The Lead Analyst, Product Compliance ensures compliance in product lifecycle, conducts risk assessments, collaborates with teams, and develops compliance processes for Circle's Payments product.

Supports registered fund compliance programs for mutual funds, ETFs, and closed-end funds. Responsibilities include compliance surveillance, investment guideline alerts, policy administration under SEC rules, fund launches, board reporting, annual and quarterly assessments, and coordination with fund administration, legal, risk, auditors, law firms, and service providers. The role also provides compliance guidance across client accounts and prepares regulatory and management materials.

Perform surveillance and monitoring of firm systems, review and address flagged issues, conduct email surveillance, prepare regulatory filings, assist with exams and investigations, deliver compliance training, update policies, review employee requests, and partner with Technology to improve internal review systems.

Perform annual compliance testing and prepare Form 5500 and related schedules for defined benefit and contribution plans. Respond to audit inquiries, calculate required minimum distributions/contributions, prepare Form 5330, and complete ERISA requests and special projects while coordinating with clients and internal teams to ensure IRS/DOL compliance.

Perform KYC and commercial credit due diligence on customers and counterparties, verify legal-entity and ownership structures, run sanctions/PEP/adverse-media screens, assess financial statements and creditworthiness, assign risk ratings, prepare written risk assessments, maintain audit-ready documentation, and partner with commercial teams to support compliant onboarding.

Perform KYC and credit due diligence on commercial counterparties: verify legal entities and beneficial ownership, run sanctions/PEP/watchlist and adverse-media screenings, analyze financials and payment capacity, assign risk ratings, conduct enhanced due diligence for high-risk cases, maintain audit-ready records, prepare risk assessments, and partner with commercial teams to support compliant onboarding.

Support operational effectiveness testing of SOX controls across Finance. Partner with SOX Design Managers, control owners, and IT for walkthroughs, monitoring, and remediation. Provide mentorship, program ownership for Sarbanes-Oxley initiatives, and help ensure accurate financial statements and audit readiness.

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.

Support the VP Compliance Officer to ensure adherence to the Compliance Management System with emphasis on deposit regulations. Serve as subject-matter expert, conduct internal monitoring reviews, review disclosures and marketing materials, assist with audits/exams, oversee complaint management, train staff, communicate regulatory changes, and compile risk committee materials.

Support design, implementation, and operation of Affirm Bank's BSA/AML and compliance technology. Build and test transaction-monitoring rules, case-management workflows, dashboards, and controls; analyze alerts and control performance; maintain documentation; coordinate across Compliance, Product, Engineering, Data, and vendors to ensure audit-ready, scalable compliance systems.

Conduct compliance reviews, assess regulatory impact of products, prepare examination/audit documentation, support risk management, update policies/forms/disclosures, assist with training and regulatory change assessment, and interact with internal stakeholders to resolve compliance findings.

Manage accounts receivable governance, onboarding, credit administration, invoice auditing, and dispute resolution. Support AR/ERP systems, develop SOPs, handle high-risk accounts, credit reviews, and ensure billing accuracy across cross-functional teams.

Perform premium and tax reconciliations between systems, prepare premium tax reports, review premium contracts for regulatory compliance, process and record tax payments, communicate with staff and state agencies, and provide backup accounting support.

Audit loans for compliance with federal, state, and investor requirements (TILA, RESPA, TRID, ECOA, etc.). Review third-party diligence findings, monitor remediation pipelines, assist with defect remediation and appeals, and communicate defects to internal and external stakeholders.

Provide post-award sponsored project financial compliance and analysis, lead audit and closeout efforts, monitor financial indicators and labor costs, automate reporting, produce reconciliations and ad hoc analyses, deliver training, and partner with campus and central stakeholders to mitigate risk and improve processes.

Monitor account activity and transaction reports for BSA/AML and OFAC compliance. Perform reviews and testing of internal controls, prepare CTRs and SARs, maintain vendor and CTR-exemption documentation, support regulatory exams, and coordinate risk identification and mitigation with colleagues.

Monitor and investigate suspicious activity alerts, review currency transaction reports, perform due diligence on high‑risk accounts, maintain records and reports, support FCRM alert management and system improvements, and assist with audits and regulatory examinations to ensure BSA/AML compliance.