Top Compliance Analyst Jobs

Provides compliance support for a broker-dealer by coordinating compliance programs, conducting surveillance reviews and forensic testing, analyzing regulatory developments, researching exceptions, and identifying compliance risks. The role also improves and automates employee compliance processes, supports new business initiatives, collaborates with legal and business teams, and develops pragmatic solutions to regulatory and operational issues.

Investigate agent sales practices for potential violations of laws, SEC and FINRA regulations, and company procedures. Analyze data from systems, reports, public records, Tableau dashboards, and online sources; prepare management reports; coordinate inquiries and resolutions with field and home-office teams; and support compliance procedure development and special projects.

Analyzes and interprets regulatory requirements, case law, and compliance risks; develops policies, procedures, training, and corrective actions. Advises management, monitors regulatory changes, supports audits and regulatory responses, and leads compliance program implementation. Manages cross-functional projects, coordinates stakeholders, oversees project plans and resources, and evaluates compliance education and program effectiveness.

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.

Evaluates IT general controls, information security protocols, system implementations, and financial system access controls. Manages GRC workflows in Oracle and SafePaaS, reviews ServiceNow requests, performs segregation-of-duties and user-access reviews, runs Alteryx and data analytics workflows, supports SOX, DCAA, SUPSHIP, and internal audits, and develops remediation plans with cross-functional stakeholders.

Supports logistics internal controls by executing recurring operating routines, maintaining audit-ready documentation, coordinating controls testing, managing evidence and access reviews, compiling KPI reports, and tracking corrective actions. The role partners with Logistics, Supply Chain, Finance, Internal Audit, IT Security, and external stakeholders to identify gaps, improve process consistency, and ensure timely issue resolution and audit readiness.

Perform KYC, customer due diligence, and consumer compliance case reviews for Mastercard’s Open Finance business. Manage case queues, refresh reviews, documentation, risk ratings, escalations, and service-level commitments. Track KPI and KRI reporting, review sales pipelines for higher-risk customers, identify automation opportunities, and support cross-functional compliance projects. Apply KYC and AML requirements across banking, payments, and financial-services operations.

Reviews lending documents, collateral records, credit and mortgage files for accuracy, completeness, policy adherence, and regulatory compliance. Maintains collateral documentation, conducts vault and file audits, tracks borrower compliance materials, investigates irregularities, and recommends process improvements. Collaborates with business partners, supports reporting and training, resolves documentation issues, and ensures data quality and risk controls across lending operations.

Coordinates aircraft registration and tax collection activities while overseeing compliance reviews of Business Support Services transactions. Develops audit policies, procedures, scopes, and review frequencies; interprets applicable laws and regulations; tracks and reports collections; communicates with vendors and aircraft owners; and reports findings to executive management.

Oversee broker-dealer regulatory compliance programs, investigate regulatory inquiries, support examinations, maintain policies and supervisory procedures, assist with compliance training, manage surveillance systems, prepare reports, maintain books and records, and review communications and advertisements for regulatory adherence.

Supports mutual fund compliance activities, including reviewing post-trade compliance and liquidity risk results, maintaining regulatory knowledge, assisting with audits, preparing quarterly Board reports, responding to clients, and escalating control issues. The role requires understanding mutual funds, financial markets, applicable regulations, risk management, and compliance procedures, along with strong communication, documentation, and Microsoft Office skills.

Supports retirement plan compliance projects for defined contribution and defined benefit plans. Responsibilities include audits, regulatory filings, compliance testing, plan document reviews, Form 5500 preparation, plan corrections, regulatory research, quality control, training, and technical client support. The role ensures compliance with IRS, Department of Labor, and ERISA requirements while coordinating with internal teams and maintaining accurate documentation.

Conduct compliance testing and monitoring across the bank and fintech partners, document findings, identify control weaknesses, assess regulatory changes, and collaborate with business, risk, legal, and partner teams to strengthen compliance processes.

Manages rental and vehicle insurance compliance processes, analyzing approximately 75,000 annual certificates with Qlik to identify gaps, risks, and trends. Reviews renewals, certificate requests, insurance amendments, hazmat and high-risk cargo deals, and escalations. Coordinates account transitions, system updates, audits, reporting, dashboards, and offshore team activities. Requires insurance knowledge, analytical skills, contract understanding, communication, organization, and at least two years of relevant experience.

Manages rental and vehicle insurance compliance by analyzing approximately 75,000 annual certificates in Qlik, identifying gaps and risk trends, coordinating certificate requests and policy renewals, and resolving compliance issues. Reviews escalated deals involving hazardous materials and high-risk cargo, determines insurance amendment requirements, supports Interim account transitions, conducts audits and reporting, and serves as an insurance compliance subject matter resource for internal teams and partners.

Prepare nondiscrimination testing, Form 5500 filings, and retirement plan document amendments for assigned clients. Maintain knowledge of qualified plan regulations, use Relius and FT William software, respond to ERISA technical questions, manage compliance projects, and meet deadlines while communicating effectively with clients and colleagues.

Supports and advances compliance risk assessment programs across North and South American group companies. Responsibilities include identifying, analyzing, mitigating, and remediating compliance risks; conducting questionnaires, interviews, surveys, and risk analysis; monitoring regulatory changes; maintaining documentation; advising stakeholders; and coordinating cross-functional projects, timelines, and deliverables.

Supports Toyota Industries’ North American and South American ethics and compliance programs, with a focus on policy governance, implementation, monitoring, risk remediation, communications, and training administration. Collaborates with compliance, legal, regulatory, and business stakeholders to update policies based on changing laws and risks. Manages assigned projects and project teams while supporting initiatives such as conflicts of interest and gifts and entertainment compliance.

Supports compliance operations for three SEC-registered investment advisory firms. Responsibilities include advisor and employee onboarding compliance, monitoring certifications and disclosures, reviewing marketing and communications materials, maintaining regulatory records, tracking deadlines, supporting filings and vendor due diligence, coordinating training, identifying deficiencies, preparing reports, and assisting with regulatory examinations. The role requires strong organization, confidentiality, communication, attention to detail, and familiarity with regulated financial services environments.

Supports regulatory compliance programs for three SEC-registered investment advisory firms. Responsibilities include compliance testing, annual reviews, risk assessments, advisory account reviews, fee and trading activity testing, investment product due diligence, conflict-of-interest evaluations, Form ADV maintenance, SEC examination support, corrective action tracking, and compliance reporting. The role also assists with policy updates and oversight of investment managers, subadvisors, and third-party platforms.

Reviews mortgage loan documentation for regulatory compliance, including Loan Estimates, Closing Disclosures, TIL, HUD-1 fees, ECOA requirements, TRID, and high-cost testing. Performs data entry, runs Compliance Ease audits, verifies documents, manages large caseloads, meets strict deadlines, and supports auditing professionals delivering risk mitigation services to mortgage industry clients.

Investigates potential money laundering, fraud, terrorist financing, and other suspicious activity. Conducts customer and enhanced due diligence reviews, analyzes transaction patterns, performs OFAC and 314(a) screening oversight, prepares regulatory filings and SARs, and documents findings. The analyst researches risks, supports AML program improvements, collaborates with internal teams and partners, and maintains knowledge of regulatory requirements and industry trends.

Coordinates regulatory compliance projects, departmental initiatives, policy and procedure updates, audit and examination responses, corrective actions, and compliance documentation. Tracks project plans, milestones, deliverables, and timelines while liaising with risk management, business units, vendors, auditors, and regulators. Supports regulatory change implementation, risk assessments, committee materials, and management reporting. Requires strong organization, communication, regulatory research, risk management, audit knowledge, and discretion.

Supports AML and compliance operations for a cryptocurrency platform. Responsibilities include reviewing transaction monitoring alerts, investigating accounts and blockchain activity, preparing SARs, performing KYC/KYB and EDD reviews, sanctions screening, using blockchain analytics tools, and optimizing monitoring rules with compliance engineering and cross-functional teams.

Prepares and submits annual Incurred Cost Submissions under FAR, DFARS, and CAS requirements. Reconciles general ledger balances, validates indirect cost pools and direct bases, evaluates unallowable costs, applies allocation methodologies, and identifies financial anomalies. Supports internal and external audits, serves as a DCAA and DCMA contact, maintains audit workpapers, responds to information requests, and collaborates with leadership to resolve complex compliance inquiries.