Top Compliance Analyst Jobs

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.

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.

Provides U.S.-hours compliance oversight for personal trading, employee disclosures, licensing, registrations, examinations, and continuing education. Reviews trade preclearance, securities transactions, exceptions, U4/U5 filings, registration issues, and regulatory requirements; conducts research, resolves employee-specific matters, maintains audit-ready records, and escalates higher-risk issues. Oversees Manila-based processing through quality control, guidance, training, reporting, reconciliation, and workflow improvement. Supports audits, regulatory examinations, controls, procedures, and technology enhancements.

Develops and administers a firm-wide compliance program for an options market-making and proprietary trading broker-dealer. Responsibilities include maintaining policies, conducting risk assessments and compliance reviews, overseeing surveillance, managing employee disclosures and information barriers, supporting regulatory filings, maintaining FINRA CRD records, coordinating vendors, and delivering compliance training. The role requires strong knowledge of SEC, FINRA, and CBOE rules, options trading, project management, and securities licensing.

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.

Supports regulatory compliance through testing and monitoring first-line business functions, assessing compliance risks and controls, updating risk assessments, reviewing training materials, maintaining training records, and tracking compliance metrics and issues. The role requires knowledge of financial institution regulations, strong communication and attention to detail, and the ability to work independently and collaboratively in a hybrid environment.

Supports investment and compliance departments by overseeing cheapest share class reviews, analyzing investment manager fees, identifying discrepancies and billing errors, monitoring regulatory developments, maintaining audit documentation, and preparing compliance reports. Partners with investment leadership on compliance initiatives, improves monitoring controls, and advises partner teams on share class appropriateness, fee structures, and related fiduciary obligations.

Reviews financial professionals’ advertising, sales literature, social media, and communications for FINRA, SEC, state, and internal compliance requirements. Develops controls, procedures, training materials, and approved content libraries; files communications with FINRA; conducts regulatory research; and advises internal and external stakeholders. The role requires strong knowledge of SEC Marketing Rule requirements, financial services advertising regulations, securities and insurance products, and dual broker-dealer/RIA environments.

Reviews trade surveillance reports, identifies and escalates compliance exceptions, monitors employee access and communications, supports regulatory inquiries and audits, analyzes compliance data, develops Excel reporting, and contributes to automation and AI-driven compliance initiatives. The role also provides administrative and project support to the compliance department.

Oversee compliance and operational risk programs for contact center operations. Monitor regulatory changes, conduct audits, identify and mitigate risks, maintain incident and compliance records, deliver training, prepare leadership reports, and improve processes. Partner with compliance, legal, quality, and contact center teams to strengthen controls, align call evaluations, and reduce risk exposure.

Reviews loan files for compliance with CRA, HMDA, BSA, Patriot Act, OFAC, and related regulations. Analyzes lending data, supports reporting, audits, and examinations, identifies control deficiencies, recommends corrective actions, advises business units, maintains compliance policies, and assists with staff training.

Reviews and approves advertising, marketing, and communications materials for compliance with insurance, securities, FINRA, SEC, state, and federal requirements. Evaluates regulatory and reputational risks, advises business stakeholders, coordinates regulatory filings, maintains documentation, supports audits and examinations, analyzes compliance trends, and improves review processes, controls, and workflows. Provides subject matter guidance, training, and escalation support with minimal supervision.

Reviews tax filings, financial transactions, reimbursement claims, and refund requests for compliance with Nebraska tax regulations. Prepares returns, spreadsheets, work papers, reports, and recommendations; computes individual income tax adjustments; contacts taxpayers for records and explanations; responds to inquiries; and documents findings for Revenue professionals.

Manages company forms, regulatory compliance processes, forms databases, regulatory change workflows, filings, and implementation across digital platforms. Develops and revises applications and disclosures, coordinates stakeholder approvals, supports compliance research, conducts forms testing, and maintains tracking systems. The role also leads process-improvement projects and provides technical support for forms management systems and iPipeline.

Supports federal, state, local, property, sales and use tax filings; reconciles tax accounts; assists with tax provisions, audits, regulatory research, and tax authority responses. Processes shareholder transactions and supports special tax projects, documentation, data management, and process improvements. The role requires accurate, organized handling of confidential information and compliance deadlines.

The Senior Compliance Analyst conducts compliance testing, evaluates risks and controls, maintains compliance resources and documentation, supports regulatory examinations and audits, prepares committee materials and certifications, monitors policy adherence, and presents findings. The role requires financial services compliance expertise, knowledge of SEC and FINRA regulations, strong analytical and organizational skills, and the ability to mentor associates and coordinate compliance activities.

Executes internal control compliance activities, including process documentation, walkthroughs, design and implementation testing, and testing of operating effectiveness. Analyzes control deficiencies, tracks remediation, supports internal and external audits, assesses regulatory compliance, and develops compliance guidance and training materials.

Assists the Compliance Officer with monitoring and testing consumer protection and banking regulations. Maintains compliance policies and procedures, supports regulatory examinations and audits, develops employee training, communicates findings to management, and contributes to regulatory risk mitigation. The role requires knowledge of banking compliance laws, ACH and PCI compliance, strong analytical and organizational abilities, and proficiency with Microsoft Office.

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 global payroll operations, compliance, tax, reconciliations, reporting, and audit readiness across multiple regions. Analyzes payroll data, identifies discrepancies and risks, develops dashboards, manages controls and documentation, and partners with regional teams, Finance, Tax, HR, and external vendors. Also supports payroll programs, system implementations, UAT, process improvements, and third-party service delivery.

Supports the second-line compliance function by identifying and assessing banking compliance risks, monitoring and reporting risk mitigation, maintaining compliance program components, and advising stakeholders. Responsibilities include risk assessments, policy and procedure enhancement, training, advertising and disclosure review, monitoring and testing, complaints management, and regulatory reporting. The role requires accurate analysis, professional communication, strong follow-through, and collaboration in an in-office environment.

Investigate client accounts and transactions for money laundering, terrorist financing, and other financial crime risks. Analyze transaction data and client profiles, identify anomalies and red flags, prepare investigative case files and reports, collaborate with stakeholders on escalations, document monitoring activity, and stay current on AML/CFT regulations and emerging financial crime trends.

Analyzes regulatory transaction data and CAT reporting to identify errors, determine root causes, and recommend remediation. The role develops surveillance and compliance controls, automates CAT feedback processes, researches regulations, investigates reporting issues, supports regulatory examinations, and collaborates with developers and management. Candidates need strong analytical, investigative, communication, and problem-solving skills, along with familiarity with programming, SQL, UNIX, Excel, and financial regulatory systems.

Oversee compliance for Consolidated Audit Trail reporting systems by reviewing regulatory data, investigating errors, identifying root causes, performing UNIX-based corrections, developing surveillance and controls, automating CAT feedback processes, coordinating remediation, and supporting regulatory examinations. The role requires data analysis, regulatory interpretation, technical system understanding, and communication with developers and management.

Conduct tax audits of employers across industries and business structures to determine unemployment insurance tax compliance. Review financial records, investigate delinquent taxes, underground economy activity, wage protests, status liability, and worthless checks. Interview employers and third parties, request subpoenas for missing records, interpret state and federal laws, assess employer solvency, and provide audit opinions supporting collection decisions.