Top Compliance Analyst Jobs

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.

Provides compliance coverage for equities sales, trading, and strategy personnel within Global Markets. Advises on regulatory requirements, evaluates new business initiatives, develops policies and training, supports audits and regulatory examinations, conducts compliance look-backs, manages escalations, and analyzes regulatory changes to mitigate compliance and reputational risks.

Conducts complex financial crime investigations involving money laundering, terrorist financing, PEPs, bribery, corruption, sanctions breaches, tax evasion, and other suspicious activity. Analyzes transactions, client relationships, alerts, and risk profiles; performs research and data analytics; responds to regulatory requests; monitors emerging typologies; and supports improvements to compliance processes, systems, training, and governance.

Conduct AML/financial crime investigations by analyzing client accounts and transactions, identifying red flags, preparing case files and investigative reports, collaborating with stakeholders, and ensuring compliance with AML/CFT regulations and internal policies.

Support execution of enterprise compliance programs: monitor regulatory adherence, review consumer-facing materials, perform QA and data integrity testing, assist vendor oversight, update policies and training, prepare audit/exam responses, and document findings and corrective actions.

Support enterprise-wide financial crimes RCSAs by drafting and updating controls, coordinating and evaluating control testing, challenging 1st-line assessments, mapping issues to controls, preparing leadership reporting, assisting audit/regulatory requests, and supporting strategic projects and training to strengthen the GFCC control environment.

Support Investment Compliance change initiatives by analyzing data and processes, documenting requirements, assisting testing (UAT), producing insights and reports (Excel/SQL/Power BI), and coordinating stakeholders to improve controls, workflows, and automation across global teams.

Review pre-trade, post-trade and batch compliance alerts in Charles River, assess permissibility, conduct test trades, manage manual processes, escalate violations, support client reporting and lead medium-complexity projects to improve and automate monitoring processes.

The Portfolio Oversight Analyst will manage trading controls, code client investment guidelines, handle regulatory compliance, and support trading desks. Responsibilities include preparing regulatory reports, assisting in client due diligence, and participating in overnight calls for trading issues resolution.

The Governance Risk Compliance Analyst ensures compliance with regulatory requirements by conducting reviews, analyzing processes, maintaining documentation, and supporting governance activities within Wealth Management Risk Control.

Support U.S. federal income tax compliance and reporting for a multinational, preparing returns, workpapers, estimated payments, and ASC740 provision support. Perform tax research, data reconciliation, and process improvement with Tax, Finance, and Tax Technology partners to enhance automation, controls, and reporting accuracy.

Perform customer due diligence and regulatory verification for client onboarding. Review onboarding packages, perform identity and sanctions screening, validate ownership and licenses, complete Payment Network checks, maintain client files, document exceptions, support Senior Compliance Managers, and improve SOPs to ensure compliant onboarding.

Support employee conduct oversight by reviewing disclosures, monitoring personal trading and outside activities, investigating compliance exceptions, advising associates, and contributing to process improvements and automation to strengthen Code of Ethics compliance.

Conduct and execute compliance testing across firm businesses to assess adherence to regulations and firm policies. Gather and analyze data, document results, identify and escalate compliance risks, coordinate multiple reviews, and communicate findings with Compliance and business senior management globally.

Perform contract compliance audits and maintain contract repositories, identify discrepancies, partner with cross-functional teams to resolve issues, support Malbek CLM lifecycle activities, produce compliance and profitability reports, lead process improvements and freight terms governance, and support global compliance and ABM close activities.

Drive risk and compliance activities for finance and supply chain: perform risk management and reporting, due diligence, remediation and corrective action planning, user access management, SOX compliance, and partner with stakeholders and global teams to implement controls and support audits.

Prepare and submit federal tax returns and estimates, support year-end tax provision and forecasts, research tax regulations, perform GL account analysis and reconciliations, maintain tax software, and support state tax compliance and audit documentation.

Perform customer due diligence and rapid risk assessments for prospective clients, triage and evaluate AML referrals, administer internal watch lists, recommend onboarding decisions, escalate investigations, and mentor junior staff to support the firms AML compliance program.

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.

Lead compliance oversight for consumer protection laws (FCRA, ECOA, TILA, SCRA, EFTA), perform risk assessments, monitor controls, manage remediation, advise business partners, create training, and produce compliance reporting and analysis to support regulatory adherence.

Lead compliance surveillance efforts by conducting risk-based reviews and investigations of agent conduct and sales practices. Design and test surveillance scenarios, analyze policy/transaction data for trends and emerging risks, produce management reporting, support regulatory exams and remediation, and recommend controls and process improvements.

Investigate surveillance alerts and analyze market/trading data to identify market abuse and compliance risks. Improve surveillance controls and automation, support regulatory implementation, advise stakeholders, and collaborate across Compliance, Trading, Technology, Risk, and Operations.

Execute end-to-end onboarding for complex institutional, corporate, and HNWI clients. Perform KYB/KYC, Enhanced Due Diligence, PEP and sanctions screening, escalate risks, support audits, optimize onboarding workflows, and partner with Sales and Risk to maintain compliance with AML/CFT and privacy regulations.

The Senior Financial Analyst supports the Global Development organization by ensuring compliance with financial activities and performing audits, mentorship, and process improvements related to Clinical Trials budgeting.

Perform day-to-day compliance functions for a deposits portfolio, including testing, monitoring, risk assessments, vendor compliance, policy maintenance, and regulatory research. Prepare documentation and reports, communicate findings to management and the Board, support regulatory change management and exams, and assist in remediation and root-cause analysis.