Top Compliance Analyst Jobs

Support and coordinate broker/dealer and investment adviser regulatory examinations (state, federal, FINRA). Liaise with regulators, collect and analyze requested materials, guide remediation plans, draft formal responses, track findings through closure, and identify regulatory trends and emerging issues.

Lead AML/CTF program for a CFTC-registered prediction market: develop policies, conduct risk assessments, oversee transaction monitoring and KYC/CDD, manage SARs and regulator interactions, deliver training, and update procedures for regulatory changes.

Manage global banking user entitlements and bank signing authorities, review daily Positive Pay exceptions, maintain Treasury signature matrices, support FBAR/FATCA compliance, audit record-keeping, and assist with merchant services and banking platform consolidations.

Monitor assigned fixed‑income portfolios for compliance with client guidelines, policies, and regulations. Review trading activity, perform pre‑trade what‑if analysis with portfolio managers, conduct monthly and quarterly reviews, resolve compliance issues with internal stakeholders, and assist in migrating compliance systems to Aladdin.

Support lending compliance monitoring and reviews for consumer, mortgage, and commercial loans. Ensure adherence to federal/state laws (ECOA, FCRA/FACTA, HMDA, RESPA, TILA, etc.), maintain HMDA/CRA data, track and resolve compliance issues, assist with audits/examinations, and provide guidance to departments. Perform file reviews, data validation, and participate in special projects and training.

The Compliance Analyst tracks US federal regulations, ensures compliance, conducts assessments, communicates updates, and manages compliance-related documentation and customer communications.

The Compliance Analyst will track and review regulations, conduct compliance assessments, manage compliance design specifications, and communicate with various stakeholders to ensure compliance with regulatory standards in mortgage and non-mortgage loan servicing.

The Compliance Analyst investigates potential Anti-Money Laundering activities, produces reports, and collaborates with partners for effective case management.

The Compliance Analyst will investigate potential Anti-Money Laundering activities, produce reports, and coordinate with partners in the Financial Intelligence Unit.

The Compliance Analyst tracks and reviews US federal regulations, ensures product compliance, conducts assessments, and collaborates with legal and business units for regulatory issues.

The role involves project management, data validation, preparing presentations, and coordinating reports with technology teams, along with compliance tasks.

The Compliance Analyst is responsible for ensuring product compliance with federal regulations, conducting assessments, and providing guidance to internal teams and clients. The role involves monitoring regulatory changes and conducting audits in the mortgage loan servicing sector, requiring significant travel.

Support development and implementation of mortgage compliance programs, maintain NMLS/licensing and regulatory filings, perform HMDA and fair lending analytics, assist with regulatory changes, exams, audits, QC audits and remediation, and provide subject-matter support for federal and state mortgage regulations.

Lead IFRS financial reporting and compliance across North America, align accounting policies, support IFRS implementation, manage intercompany/inventory/manufacturing accounting, strengthen SOX/internal controls, partner with auditors, drive ERP (SAP) and reporting improvements, and support month-end and year-end close.

Support compliance monitoring, testing, and branch audits for acquired firms during integration. Conduct risk assessments, audits, and branch exams; identify trends, document workpapers, track remediation action plans, assist policy development, and report to Compliance leadership while staying current on regulatory developments.

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.

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.

Provide compliance oversight for deposit products and back-office operations, perform change risk assessments, manage issue and regulatory change management, monitor complaints and controls, validate first-line testing, map controls to regulatory requirements, and partner with business and compliance stakeholders to remediate gaps and ensure regulatory alignment.

Lead and execute control testing for Global Sanctions to ensure sanctions risk is mitigated across the enterprise. Independently test controls, liaise with issue management, partner with control and technology teams for model validation and reporting, oversee non-model tools, support remediation and risk assessment activities, and build/document controls for sanctions-related processes.

Support global compliance functions by monitoring regulatory trends, assessing risk, and ensuring firmspolicies and controls meet requirements. Work across Financial Crime Compliance, Core Compliance, Compliance Testing, Markets Surveillance and Global Banking & Markets to analyze issues, manage projects, interact with senior stakeholders, and help design and test controls to prevent financial crime and regulatory breaches.

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.