Top Compliance Analyst Jobs

Validate and analyze LOS data for HMDA reporting, perform root cause analysis, design risk controls, gather business requirements, and develop test scenarios while partnering with business and IT to support automation and prevent recurrence.

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.

Develop, document, and maintain policies, procedures, and processes to ensure FAR/DFARS compliance across government contracting business systems. Support DCAA/DCMA audits, perform gap analyses, track remediation, and partner with Finance, Contracts, Supply Chain, and Program teams to maintain internal controls and audit readiness.

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.

Support implementation and monitoring of FAR/DFARS/CAS compliance controls, assist policy and control documentation, participate in internal reviews and audit readiness, prepare government filings, produce compliance reports and dashboards, monitor regulatory updates, and collaborate with cross-functional teams.

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 compliance monitoring and testing activities for consumer and commercial business lines. Conduct document reviews, identify compliance and operational issues, perform data analysis, maintain compliance risk assessments and reporting, and assist in preparing reports for senior management and the Board. Monitor regulatory changes and document business line controls and responses.

Support compliance governance and monitoring: administer controls certification, issues and remediation tracking, regulatory inventory and policy reviews, prepare periodic reporting, manage contract compliance monitoring, and coordinate with stakeholders to close actions.

Perform business acceptance and user acceptance testing for regulatory changes, schedule and validate pre/post-production updates, create and maintain loan test scenarios and regression test models, update compliance content and customer notifications, support implementation with customer support teams, and assist with testing and training via proprietary AI tools.

Review and investigate KYC onboarding and reaccreditation cases, assess AML/KYC risks and PEP matches, provide compliance recommendations and advisory feedback, monitor/test KYC controls, track regulatory change, support audits/inspections, and deliver training to KYC Operations.

Provide compliance advisory support for the bank's Compliance Management Program: maintain regulatory knowledge, support monitoring and oversight, advise personnel and fintech partners, assess product/process changes, investigate issues, prepare guidance and documentation, and help improve controls and procedures.

Lead SOX compliance activities and perform financial and operational audits. Assess control design and operating effectiveness, execute tests, manage remediation, document workpapers, prepare audit reports with recommendations, and follow up on management action plans. Collaborate with control owners, project teams, and external auditors.

Lead SOX compliance and internal audit activities: document and assess controls, design and execute tests, manage remediation, support SOX in projects, plan and perform risk-based audits, prepare reports with recommendations, and follow up on management action plans.

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

Review and validate employee expense reports for policy compliance, documentation, and reasonableness. Investigate exceptions, escalate as needed, partner with AP/Legal/Compliance, maintain records for audit readiness, support month-end close, and recommend process improvements.

Support the Compliance team by assisting with compliance reviews, regulatory reporting (HMDA/CRA), data quality checks, research, policy updates, and special compliance projects to ensure regulatory adherence and process improvement.

Support and maintain the credit union's Compliance Management System by researching regulations, monitoring procedures, tracking remediation, reviewing marketing for compliance, preparing workpapers and reports, assisting audits and examinations, developing training and knowledge assets, and advising business units on regulatory risk and corrective actions.

Investigate fraud referrals and perform AML transaction monitoring for life and annuity products. Analyze cases, interview when needed, document findings, recommend actions, and collaborate with internal and external partners to resolve compliance issues while adhering to policies and procedures.

Support Research Compliance by overseeing consultant interactions and custom projects, chaperoning and documenting consultant calls, maintaining compliance policies and systems, recommending policy improvements, and partnering with investment professionals and compliance team members.

Review retail advertising and marketing communications for compliance with firm policy, FINRA and SEC rules; document and retain records; explain required changes to submitters; research policy questions; maintain internal compliance materials; follow vendor workflows; assist team members and meet service-level timeframes.

Conduct AML/financial crime investigations by analyzing client accounts and transactions, identifying red flags, preparing case files and investigative reports, collaborating with stakeholders, and ensuring compliance with AML/CFT regulations and internal policies.

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.

Support BSA/AML operations (CIP/KYC, CDD/EDD, transaction monitoring and SAR referrals) and CMS functions (compliance testing, exam/audit support, documentation, issue tracking). Execute testing scripts, investigate alerts, maintain policies and control inventories, and coordinate corrective actions with stakeholders.

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.