Top Compliance Analyst Jobs

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.

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 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.

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

Supports enterprise compliance and risk assurance activities, including SOC 2 and HITRUST readiness, audit fieldwork, control testing, evidence management, risk assessments, findings remediation, and IT general control reviews. The role analyzes control gaps and findings, maintains audit documentation in a GRC platform, coordinates auditor requests, and partners with compliance, legal, technology, finance, and business teams to standardize assurance processes.

Supports enterprise compliance and risk assurance activities, including SOC 2 and HITRUST readiness, evidence collection, control walkthroughs, audit fieldwork, IT general control testing, findings remediation, and risk assessments. Maintains audit evidence in a GRC platform, identifies systemic issues, supports regulatory reviews, and helps standardize external audit processes across business units. The role collaborates with compliance, risk, legal, technology, finance, internal audit, and business teams.

Maintain SEC registration statements and filing materials for variable life and annuity products. Coordinate regulatory filings and customer document delivery, conduct annual separate-account testing, manage AML training and customer due diligence, support risk assessments and audits, and assist with regulatory examinations. The role also requires researching non-routine compliance issues, managing complex documents, and supporting broader compliance initiatives.

Supports citywide compliance by monitoring regulations, conducting assessments and audits, tracking risks, investigating incidents, documenting findings, coordinating corrective actions, preparing reports, and guiding departments on policies and best practices. The role also develops compliance materials, dashboards, training resources, and stakeholder communications while maintaining accurate compliance records.

Reviews and updates corporate policies, conducts compliance audits, prepares findings and corrective action plans, monitors regulatory changes, and advises employees and leaders on compliance requirements. The role also supports policy training and uses Power BI and Smartsheet for reporting, analysis, project tracking, and workflow automation.

Supports compliance governance, risk assessment, audit and exam activities, remediation tracking, dashboard governance, reporting, quality assurance, documentation, business continuity, and process improvement. The role partners with cross-functional stakeholders, facilitates governance meetings, communicates risk insights to leadership, and advocates for AI-enabled workflows using Google tools and related technologies.

Supports compliance governance, risk assessment, audit and exam readiness, remediation tracking, dashboard governance, reporting, quality assurance, documentation, and business continuity. The role coordinates cross-functional initiatives, communicates findings to leadership, improves processes, and advocates for AI-enabled workflows using Google tools and related technologies.

Supports mortgage origination compliance through complaint investigations, regulatory and investor examinations, risk-based monitoring, transactional testing, regulatory research, root cause analysis, reporting, and remediation. Independently manages multiple compliance matters, develops testing methodologies and monitoring materials, communicates findings to regulators and leadership, and recommends improvements to compliance controls and the Compliance Management System.

Develops and maintains Finance policies, procedure manuals, and related documentation. Responsibilities include interviewing subject matter experts, leading review meetings, communicating updates, conducting compliance testing, tracking corrective actions, and promoting organizational compliance. The role supports the Finance compliance lead and requires strong writing, communication, independent judgment, Microsoft applications, flowcharting software, and knowledge of government contracting regulations and audit environments.

Supports retail banking compliance by reviewing AML and fraud alerts, investigating suspicious transactions, filing CTRs, reviewing new accounts, handling tax levies and subpoenas, tracking Regulation E claims, following up with branches, and preparing audit documentation under senior supervision.

Build and scale compliance processes for Lemonade’s P&C insurance products across Car, Home, Renters, and Pet lines. Develop policies, provide regulatory guidance to leadership, partner with Insurance Operations and Product, manage compliance projects, and improve processes through AI and automation while handling multiple priorities and deadlines.

Own pricing governance by validating price implementations, monitoring effective dates, reviewing yield reports, investigating pricing exceptions, and identifying margin leakage. Maintain implementation trackers, audit system accuracy, document corrections, communicate status to stakeholders, and develop dashboards and governance metrics. Collaborate with Revenue Management, Sales, IT, Supply Chain, Customer Service, and Finance to resolve issues, improve controls, and reduce recurring pricing errors.

Supports HMDA compliance by reviewing residential loan applications, validating originated and non-originated applications, comparing LAR data with source documents, correcting discrepancies, and ensuring complete and accurate reporting. Participates in AML/BSA compliance activities, including CTR preparation, suspicious activity review, OFAC comparisons, and regulatory identity verification. Maintains documentation accuracy, meets deadlines, and collaborates with credit union staff and management.

Manages audit, regulatory examination, and due diligence requests from intake through resolution. Coordinates business partners, auditors, examiners, and regulators; tracks deadlines and remediation of findings; reviews responses for completeness; identifies and escalates risks; monitors regulatory changes; and contributes to compliance reporting and management responses.

Conducts audits and compliance reviews for New York City’s Commercial Waste Zone program. Assesses contractors’ compliance with contracts, laws, rules, and regulations; performs surveys and research; develops audit procedures; prepares workpapers, spreadsheets, interviews, memos, letters, and reports; supports corrective action plans and audit status updates; and may conduct site visits.

Handle corporate onboarding escalations and serve as a compliance subject matter expert. Conduct customer risk assessments, periodic and trigger reviews, enhanced due diligence, AML flag identification, and QA checks. Support compliance reviews, process improvements, special projects, and regulatory training while collaborating with MLROs, account managers, VIP teams, and other stakeholders. Apply relevant laws, regulations, virtual currency policies, and compliance tools such as World-Check.

Provides compliance guidance for workplace investment products and services. Interprets and monitors ERISA, DOL, IRS, federal, state, and local requirements; advises business, product, legal, and risk partners; responds to regulatory inquiries; reviews policies and procedures; resolves compliance issues; and develops reporting to measure program effectiveness.

Supports corporate compliance and merchant onboarding by reviewing KYC, CDD, and AML documentation; conducting adverse media, PEP, and sanctions screening; maintaining due diligence records; coordinating with merchants to complete onboarding; performing risk assessments for individuals and complex corporate structures; and assisting with compliance projects.