Top Compliance Analyst Jobs

Perform annual compliance testing and prepare Form 5500 and related schedules for defined benefit and contribution plans. Respond to audit inquiries, calculate required minimum distributions/contributions, prepare Form 5330, and complete ERISA requests and special projects while coordinating with clients and internal teams to ensure IRS/DOL compliance.

Perform premium and tax reconciliations between systems, prepare premium tax reports, review premium contracts for regulatory compliance, process and record tax payments, communicate with staff and state agencies, and provide backup accounting support.

Manage accounts receivable governance, onboarding, credit administration, invoice auditing, and dispute resolution. Support AR/ERP systems, develop SOPs, handle high-risk accounts, credit reviews, and ensure billing accuracy across cross-functional teams.

Review and validate HMDA loan and adverse action data, enter HMDA data into CenTrax NEXT, prepare reports for audits and regulators, manage online training administration and monitoring, and assist the Compliance and Risk Manager with compliance projects and documentation.

Conduct compliance reviews, assess regulatory impact of products, prepare examination/audit documentation, support risk management, update policies/forms/disclosures, assist with training and regulatory change assessment, and interact with internal stakeholders to resolve compliance findings.

Manage issuance and reconciliation of monthly rental subsidy payments across programs, perform data audits and entry, correct enrollment errors, coordinate with finance and city partners, and resolve compliance and billing issues.

Support the Fiduciary Compliance Management Program by performing compliance monitoring, assessing first-line controls, conducting third-party risk assessments, reviewing complaints and incentive compensation/marketing for compliance issues, escalating concerns, and assisting with administration and execution of compliance processes.

Audit loans for compliance with federal, state, and investor requirements (TILA, RESPA, TRID, ECOA, etc.). Review third-party diligence findings, monitor remediation pipelines, assist with defect remediation and appeals, and communicate defects to internal and external stakeholders.

Manage and ensure compliance of federal, state, and local payroll tax filings for a multi-state workforce. Reconcile tax payments, research and resolve notices/audits, maintain ADP tax setups, support year-end W-2/1099 activities, collaborate with payroll/finance/HR, monitor legislative changes, and support audits and process improvements.

Supports the Compliance and Risk teams by executing compliance testing, regulatory research and gap assessments, coordinating audit/exam responses, identifying remediation actions, and monitoring controls to ensure adherence to consumer protection laws.

Process participant-level retirement plan data, scrub and upload records, interpret plan documents, calculate complex employer contributions, reconcile nondiscrimination testing and reporting, ensure IRS compliance (RMDs, loan delinquency), and coordinate with Compliance & Government Reporting and Client Service teams.

Protects the wealth management business unit by monitoring compliance with laws, regulations, and internal policies. Conducts control testing, data analysis, surveillance, and investigations; develops reports, dashboards, test scripts, and training; partners with leadership and second-line teams to remediate gaps and support regulatory requests.

Monitor federal, state, and local tax agencies for payroll-related regulatory changes; research and interpret routine requirements; document authoritative guidance and data needs; create clear change requests for downstream teams; maintain agency relationships and audit-ready records; communicate updates to stakeholders and support process improvement initiatives.

Execute internal audits and SOX engagements across the global organization. Assess design and operating effectiveness of controls, identify findings and remediation plans, perform walkthroughs, review third-party arrangements, and support external audits and ad-hoc assignments.

Prepare and review VAT/GST returns across multiple jurisdictions; reconcile return data to ERP, review cross-border VAT treatment, support audits and tax authority inquiries, coordinate with external advisors, assist with indirect tax registrations, implement e-invoicing and reporting initiatives, and drive process and ERP improvements for indirect tax compliance.

The Compliance Analyst reviews contractual obligations, manages distributions post-closing, liaises with clients and internal teams, and ensures compliance and accuracy in fund distribution processes.

Supervise broker-dealer activities including review of new accounts, trades, written/electronic correspondence, and marketing materials. Monitor policies for regulatory compliance (FINRA/SEC), assist with Investment Adviser compliance (SEC Rule 206(4)-7), develop and deliver BD training, support dispute resolution and regulatory audits, review trading and outside accounts, and collaborate on strategic planning and policy updates. Familiarity with variable annuity/life products and Pershing preferred.

The Compliance Analyst will support compliance efforts in financial crime and core compliance areas, assisting with data analysis, process documentation, and stakeholder engagement.

Perform transaction monitoring and AML investigations, conduct KYB onboarding and due diligence, prepare risk summaries and SAR/STR support, respond to regulatory requests, and improve compliance operations while covering US banking hours.

Audit loan documentation for federal, state, and investor compliance. Review third-party diligence defects, monitor remediation pipelines, conduct regulatory reviews (TILA, RESPA, TRID, ECOA, etc.), communicate defects, assist with appeals, and coordinate remediation with Operations and Correspondent Sellers.

Ensure Tilt's products, processes, and customer interactions comply with regulations. Manage complaints, perform UDAAP risk mapping and state regulatory research, test AI chatbot workflows, support audits, and drive process improvements through automation and data analysis.

Support compliance for Robinhood’s debit, spending, and credit products by analyzing regulatory changes, reviewing disclosures and marketing, managing disputes and complaints, coordinating with sponsor banks and partners, supporting audits and exams, and embedding regulatory requirements into product development and policies.

Support the Compliance Department by managing compliance workflows, reporting, audit/examination coordination, data validation, and technology solutions. Build and maintain dashboards, databases, and automated processes using Microsoft 365 tools. Track findings, remediate actions, prepare reports and executive summaries, and coordinate across business units and vendors to strengthen controls and improve efficiency.

Monitor and resolve pre-trade compliance alerts and post-trade exceptions, apply SEC and client guidelines, prepare regulatory reports, onboard new accounts and set compliance rules, improve controls and processes, and coordinate with trading, portfolio management, operations, and global support teams to ensure compliant trading activity.

The Compliance Analyst manages compliance oversight, monitors regulatory adherence, and enhances internal controls, providing support to trading staff and ensuring data integrity.