Top Compliance Analyst Jobs

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 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.

Investigates BSA/AML alerts and suspicious activity, prepares SARs and CTRs, conducts OFAC and customer due diligence reviews, monitors compliance programs, supports audits and examinations, develops procedures, and provides BSA/AML training and guidance across the organization.

Conduct trade practice surveillance, support customer onboarding, prepare CFTC regulatory filings, maintain exchange compliance policies, investigate potential violations, monitor market activity, and provide rotating coverage during live market hours.

Reviews and provides guidance on advertising materials for fixed life insurance and annuity products. Applies insurance compliance expertise, regulatory judgment, and analytical problem-solving to resolve materials of varying complexity. Independently completes assigned deliverables, advises internal and external stakeholders, maintains regulator relationships, and mentors junior colleagues while meeting quality and timeliness standards.

Reviews investment manager due diligence and disclosure forms, monitors portfolio compliance with investment policies and guidelines, resolves trade errors, liaises with the custodian, manages annual compliance questionnaires, develops compliance metrics, and supports special projects for the Chief Compliance Officer.

Conducts complex compliance testing and monitoring reviews across banking operations. Analyzes compliance data, identifies regulatory risks and control weaknesses, develops testing methodologies, recommends corrective actions, oversees remediation, and validates issue resolution. The analyst also coordinates internal and third-party reviews, interprets financial regulations, and communicates findings to leadership, bank personnel, and regulators.

Processes IRS and state levies, B-Notices, C-Notices, civil penalties, withholding activities, tax forms, and federal and state reporting. Maintains compliance with tax regulations, resolves inquiries and discrepancies, manages workflow queues, documents activities, and supports continuous improvement. Requires accuracy, timeliness, attention to detail, Excel proficiency, and collaboration with internal teams.

Plans and performs risk-based compliance reviews, evaluates internal controls and business processes, identifies gaps and inefficiencies, and recommends corrective actions. The role monitors remediation, assesses control effectiveness, maintains policies and process documentation, supports workflow improvements, and collaborates with process owners and cross-functional teams. Additional responsibilities include ESG compliance support and special projects.

Monitors U.S. and Canadian payroll compliance, regulations, tax filings, audits, controls, and employee pay accuracy. Investigates exceptions, manages corrective actions, supports SOX and regulatory audits, and coordinates payroll compliance for acquisitions and new entities. Maintains procedures, governance documentation, dashboards, and reporting while partnering with Legal, Finance, HR, vendors, and leadership to improve controls, reduce risk, and support payroll technology and transformation initiatives.

Monitor and resolve pre- and post-trade compliance alerts, maintain trading rules in the order management system, and analyze trade and position data using SQL. Automate compliance workflows with code and AI tools, maintain restricted securities lists, support MNPI processes, track regulatory developments, and assist with filings, audits, system upgrades, and compliance projects.

Provides customer and operational support for surplus lines tax compliance. Responsibilities include managing client communications, processing tax reports, payments, and filings, coordinating with state regulators, overseeing backend tasks, mentoring team members, resolving escalated issues, and supporting leadership. The role requires accuracy, organization, strong communication, advanced Excel skills, and 1–2 years of surplus lines tax filing experience.

Develops and monitors the bank’s compliance program, including regulatory reviews, risk assessments, third-party due diligence, control testing, policy administration, training, audits, and remediation. Advises business units on consumer protection, privacy, marketing, and regulatory requirements; reviews products, disclosures, and communications; maintains compliance documentation; supports regulatory examinations; and reports risks and monitoring results to management.

Develops and monitors the bank’s Compliance Management System, conducts compliance reviews, risk assessments, control testing, and third-party due diligence. Reviews products, transactions, marketing materials, disclosures, and processes for regulatory compliance. Supports audits, examinations, remediation, policy administration, training, privacy initiatives, reporting, and regulatory change management while advising business units and management on consumer compliance risks.

Provides compliance oversight for mission activities by evaluating internal controls, audit trails, policies, and regulatory obligations. Manages compliance incidents, identifies root causes, assesses risk, documents findings, and recommends process improvements. Monitors federal and state regulations, supports compliance training, advises departments on required actions, and reports compliance status and clearance gaps to leadership. The role also establishes control frameworks, conducts examinations, gathers legal and regulatory information, and trains team members.

Reviews commercial and personal insurance policies, certificates, endorsements, and property records against client requirements. Identifies coverage deficiencies, manages renewal tracking and certificate follow-up, coordinates corrections with agents and management companies, escalates complex issues, prepares compliance reports, and maintains accurate audit-ready documentation. The role requires strong insurance knowledge, attention to detail, deadline management, communication skills, and proficiency with Microsoft Office and certificate-tracking systems.

Monitors mutual fund investment compliance, reviews Charles River alerts, researches breaches, tests tax and regulatory requirements, and documents compliance activities. Supports prospectus and SAI guideline reviews, sub-adviser and service provider oversight, SEC and IRS compliance testing, regulatory filings, Board reporting, due diligence, and compliance projects. Communicates compliance guidance to sub-advisers and collaborates with internal partners under senior team supervision.

Ensures payroll, compensation, tuition assistance, workforce sponsorship, and forgiveness programs comply with regulations and organizational policies. Conducts internal audits, analyzes payroll and workforce data, develops dashboards and reports, monitors regulatory changes, maintains audit documentation, and implements corrective actions and controls. Provides compliance guidance and collaborates with Payroll, HR, Finance, Talent Acquisition, clinical departments, and operational leaders to maintain data integrity, mitigate risk, and improve processes.

Manages global import and export trade compliance, including tariff classification, country of origin, customs valuation, trade agreements, licensing, denied-party screening, documentation, audits, and duty savings. Coordinates with legal, supply chain, procurement, logistics, brokers, suppliers, and international affiliates. Develops compliance controls, policies, training, communications, corrective actions, and continuous improvement initiatives while supporting customs programs and regulatory adherence.

Supports compliance, fraud, sanctions, complaints, and dispute programs; analyzes client activity to identify risks; improves compliance workflows and tooling; collaborates with Product, Engineering, Client Services, and Finance; conducts client outreach; supports audits, examinations, investigations, and regulatory inquiries; and reports compliance trends to leadership.

Support compliance, fraud, sanctions, complaints, and dispute programs; analyze client activity for risk trends; improve compliance workflows and tooling; collaborate with Product, Engineering, Client Services, and Finance; conduct client outreach; support audits, examinations, investigations, and regulatory inquiries; and report program developments to leadership.

Conduct CDD and EDD reviews for LATAM-related customers, investigate cross-border transactions and potential money laundering or sanctions evasion, assess OFAC exposure, review ownership and source-of-funds information, disposition screening alerts, prepare UAR escalations, and support onboarding, monitoring, risk methodology, and compliance process improvements.

Supports compliance governance, risk assessment, audit and exam readiness, dashboard governance, reporting, monitoring, quality assurance, and process improvement. The role coordinates stakeholder engagements, tracks remediation activities, maintains compliance documentation, analyzes data, and communicates risk insights to leadership. It also advocates for AI-enabled workflows using Google tools and collaborates on strategic initiatives across the organization.

Supports regulatory compliance for a specialty property and casualty insurer. Responsibilities include monitoring legal and legislative changes, maintaining authority to do business across jurisdictions, coordinating insurance filings and reports, managing surplus lines tax information, responding to regulatory complaints, and reviewing policy forms for compliance. The role also communicates regulatory guidance internally, tracks deadlines, and supports compliance projects.

Conduct enhanced due diligence reviews for high-risk customers, assess transaction activity and customer risk, manage escalations, and provide AML/CFT and sanctions expertise. The role also develops compliance policies, procedures, training, and impact assessments; monitors global EDD standards and licensing requirements; leads EDD enhancement projects; and trains employees.