Top Compliance Analyst Jobs

Develops and maintains Finance policies, procedure manuals, and related documentation. Responsibilities include interviewing subject matter experts, leading review meetings, communicating updates, conducting compliance testing, tracking corrective actions, and promoting organizational compliance. The role supports the Finance compliance lead and requires strong writing, communication, independent judgment, Microsoft applications, flowcharting software, and knowledge of government contracting regulations and audit environments.

Supports retail banking compliance by reviewing AML and fraud alerts, investigating suspicious transactions, filing CTRs, reviewing new accounts, handling tax levies and subpoenas, tracking Regulation E claims, following up with branches, and preparing audit documentation under senior supervision.

Reviews insurance products, forms, rates, rules, and filings for regulatory compliance. Monitors legal and regulatory changes, analyzes business impacts, supports regulatory change management, reconciles compliance data, verifies statistical reports, prepares SERFF filings, and advises stakeholders on compliance risks. Requires strong research, analytical, communication, organizational, and problem-solving skills, along with knowledge of property and casualty insurance products.

Build and scale compliance processes for Lemonade’s P&C insurance products across Car, Home, Renters, and Pet lines. Develop policies, provide regulatory guidance to leadership, partner with Insurance Operations and Product, manage compliance projects, and improve processes through AI and automation while handling multiple priorities and deadlines.

Ensures Federal Excise Tax compliance for alcohol manufacturing facilities by interpreting TTB regulations, preparing tax claims, export drawback and return-to-bond claims, filing operational reports, conducting internal audits, updating facility registrations, and submitting regulatory variances. The role also researches regulatory changes, analyzes financial implications, coordinates with engineering, and supports accurate, timely tax reporting across Kentucky and Tennessee operations.

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.

Supports investment guideline compliance testing and reporting across KKR’s insurance asset classes. Responsibilities include reviewing compliance reports, launching sidecar processes, responding to client inquiries, performing scenario analysis, onboarding pre-trade compliance rules, automating analyses with AI, and ensuring data quality. The role partners with investment teams, portfolio managers, senior management, clients, and internal stakeholders.

Maintains the credit union’s BSA/AML and OFAC compliance programs, including CTR and SAR filing, alert investigation, suspicious activity analysis, regulatory reporting, examinations, audits, training, and risk assessments. Reviews member accounts and transactions for fraud, sanctions, and other illicit activity. Performs quality control reviews of teller operations, new accounts, account changes, wires, monetary instruments, and other services to ensure compliance with policies, procedures, and regulations.

Manage employee personal securities account onboarding, offboarding, data-feed connections, account statement collection, and compliance records. Communicate trading disclosure obligations, produce management reports, maintain operating procedures, and respond to regulatory, audit, and testing requests. The role requires strong organization, attention to detail, risk awareness, communication, and proficiency with Microsoft Office.

Supports corporate compliance and merchant onboarding by reviewing KYC, CDD, and AML documentation; conducting adverse media, PEP, and sanctions screening; maintaining due diligence records; coordinating with merchants to complete onboarding; performing risk assessments for individuals and complex corporate structures; and assisting with compliance projects.

Operates and administers the organization’s Compliance Management System, including regulatory change management, compliance monitoring and testing, policy maintenance, complaint management, issue tracking, risk assessments, reporting, and examination support. Coordinates with business units, risk teams, Legal, and control partners; maintains compliance documentation and calendars; prepares reports; supports audits and regulatory examinations; and escalates significant compliance concerns.

Advises the Individual Investors business on compliance programs, regulatory requirements, risk assessments, policies, controls, and issue resolution. Leads lower-risk compliance improvement projects, coordinates internal and external resources, supports regulatory inquiries and examinations, and researches industry rules. The role partners with business leaders and legal teams to recommend controls and enable compliant business growth. FINRA Series 7 and Series 24 registrations are required, with Series 24 obtainable within six months if needed.

Conducts employee expense report audits, identifies compliance issues and fraud indicators, maintains internal control documentation and process maps, assesses control gaps, and supports internal and external audits. The role applies COSO, HIPAA, CMS, IRS, and internal control best practices while communicating findings and remediation recommendations to finance leadership and operational stakeholders.

Conducts compliance audits, reconciles data across seller and consigner platforms, analyzes reports for discrepancies and risks, and ensures adherence to contractual guidelines and SLAs. Collaborates with sellers, Operations, and Technology teams to resolve issues, validate data accuracy, maintain documentation, and communicate findings. The role requires strong Excel skills, attention to detail, adaptability, organization, and effective in-person collaboration.

Oversee compliance training governance processes through an LMS, including monitoring controls, managing documentation and change control, validating data, analyzing learning outcomes, identifying risks, and recommending process improvements. Research issues, communicate findings, support internal customers, and collaborate on cross-functional initiatives. The role also maintains process quality, reports assessment results, and helps management understand implications and next steps.

Participate in a 24-month rotational risk and compliance analyst program. Support framework and policy implementation, analyze risk information and trends, assist with governance reviews, reporting, documentation, and monitoring, and gain exposure to credit, market, liquidity, operational, technology, compliance, model, and enterprise risk. Collaborate with global teams while developing analytical, communication, judgment, and risk management skills.

Participate in a 24-month rotational analyst program supporting risk and compliance activities. Analyze information, identify trends, assess risk management practices, and assist with governance reviews, reporting, documentation, monitoring, and compliance efforts across credit, market, liquidity, technology, operational, model, and enterprise risk. Collaborate with global teams while developing analytical, communication, judgment, and risk management skills.

Participate in a 24-month rotational risk and compliance analyst program. Support risk frameworks, policies, oversight, monitoring, governance, reporting, documentation, and compliance activities. Analyze information and trends across credit, market, liquidity, technology, operational, model, and enterprise risk areas. Collaborate with global teams, identify potential risks, improve processes, and strengthen responsible decision-making.

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 execution and administration of compliance testing for fiduciary/trust activities within IRRA. Partner with business units, risk, compliance and audit to assess controls, identify weaknesses, recommend remediation, and communicate testing results. Provide oversight and coaching to supporting analysts and ensure compliance with fiduciary laws and regulations.

Performs compliance testing for a bank’s Compliance Management Program. Maintains regulatory knowledge, develops and updates test scripts, determines testing scope, validates data, documents results, assesses control effectiveness, supports audits and regulatory inquiries, and recommends process or system improvements to reduce compliance risk.

Reviews securities and wealth-management compliance work products, including periodic client reviews, Reg BI and DOL rollover attestations, marketing communications, and structured-product or alternative-investment supervision. Identifies deficiencies, cites applicable controls and regulations, drafts audit-trail entries and reviewer dispositions, and evaluates compliance with FINRA, SEC, suitability, and supervisory requirements.

Provides compliance and regulatory support for insurance operations, including carrier and intermediary approvals, contracting, service agreements, producer agreements, business associate and nondisclosure agreements, surplus lines taxes, insurance licenses, carrier appointments, and market conduct matters. The role also involves client relationships, negotiation, problem resolution, team guidance, and occasional overnight travel.

Investigate fraud referrals and perform AML transaction monitoring for life and annuity products. Analyze cases, interview when needed, document findings, recommend actions, and collaborate with internal and external partners to resolve compliance issues while adhering to policies and procedures.

Supports the firm’s compliance program across investment adviser, broker-dealer, and fund activities. Responsibilities include maintaining procedures, regulatory filings, risk assessments, vendor reviews, marketing and communications surveillance, sales practice supervision, branch audits, and regulatory examinations. The analyst monitors regulatory developments, updates compliance programs, supports training and reporting, and partners with legal, marketing, and business teams on initiatives.