Top Compliance Analyst Jobs

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.

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.

Manage the full lifecycle of inbound KYC requests, including intake, documentation review, validation, client communication, recordkeeping, and timely resolution. Apply global KYC, AML, and international regulatory requirements, monitor regulatory changes, maintain audit-ready records, and escalate issues appropriately. The role operates in a high-volume, client-facing environment serving asset managers, private equity firms, and counterparties.

Supports a broker-dealer compliance program by maintaining policies and procedures, assisting with representative registrations, conducting compliance testing, delivering regulatory training, monitoring regulatory developments, and responding to regulatory inquiries. The role requires broker-dealer compliance experience, familiarity with FINRA and investment adviser regulations, strong data analysis, organization, attention to detail, and communication skills.

Conduct compliance control testing for complex banking regulations, including planning test procedures, researching regulatory requirements, executing transactional and control testing, reviewing workpapers, identifying compliance issues and root causes, documenting findings, and reporting results to management. The role requires independent judgment, collaboration with subject matter experts, support for junior analysts, and strong knowledge of banking laws, auditing techniques, and regulatory guidance.

Conduct regulatory compliance control testing for banking lines of business. Research laws and regulations, plan testing scopes, execute transactional and control reviews, identify compliance weaknesses and root causes, document findings in electronic workpapers, recommend corrective actions, and communicate results through reports and management meetings. Maintain testing records and tracking logs while collaborating with managers, subject matter experts, and business-line stakeholders.

Supports registered fund compliance programs for mutual funds, ETFs, and closed-end funds. Responsibilities include compliance surveillance, investment guideline alerts, policy administration under SEC rules, fund launches, board reporting, annual and quarterly assessments, and coordination with fund administration, legal, risk, auditors, law firms, and service providers. The role also provides compliance guidance across client accounts and prepares regulatory and management materials.

Perform surveillance and monitoring of firm systems, review and address flagged issues, conduct email surveillance, prepare regulatory filings, assist with exams and investigations, deliver compliance training, update policies, review employee requests, and partner with Technology to improve internal review systems.

Support operational effectiveness testing of SOX controls across Finance. Partner with SOX Design Managers, control owners, and IT for walkthroughs, monitoring, and remediation. Provide mentorship, program ownership for Sarbanes-Oxley initiatives, and help ensure accurate financial statements and audit readiness.

Support the VP Compliance Officer to ensure adherence to the Compliance Management System with emphasis on deposit regulations. Serve as subject-matter expert, conduct internal monitoring reviews, review disclosures and marketing materials, assist with audits/exams, oversee complaint management, train staff, communicate regulatory changes, and compile risk committee materials.

Supports broker-dealer and investment adviser registration, licensing, renewals, terminations, fingerprinting, and regulatory compliance activities. Maintains records in FINRA CRD and internal systems, monitors requirements, prepares compliance reporting, coordinates responses to FINRA and state inquiries, and assists with audits and examinations. Partners with Legal, Compliance, HR, and business teams to resolve issues, identify regulatory risks, conduct research, and improve processes.

Supports compliance programs, audits, market conduct examinations, regulatory requests, and corrective actions within insurance operations. Analyzes processes, prepares regulatory and management reporting, coordinates stakeholder meetings, defines project tasks and timelines, and drives process improvements. The role also supports regulated financial activities, including tax reporting, while applying Lean Six Sigma principles and maintaining internal controls.

Leads complex financial data submissions to NCCI and state insurance regulators, resolves bureau edits and rejections, and ensures accurate, timely reporting. Trains and mentors analysts, maintains reporting databases and datafeeds, improves processes, and identifies automation opportunities. Partners with Accounting, Technology, clients, and regulatory bodies to resolve root causes and reduce compliance risk across multiple states.

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.

Supervise registered representative and investment adviser activities, identify and escalate sales-practice and conflict concerns, review correspondence and personal trading, maintain supervisory procedures, support compliance testing under SEC and FINRA rules, develop training materials, monitor regulatory changes, and report to the Chief Compliance Officer.

Supervise registered representatives and investment advisor representatives, identify and escalate compliance risks, review communications and trading activities, maintain supervisory procedures, support regulatory testing, develop training materials, monitor regulatory changes, and report to the Chief Compliance Officer. The role requires broker-dealer and investment adviser compliance experience, FINRA licenses, strong Microsoft Office skills, and familiarity with brokerage platforms.

Conduct due diligence, KYC and risk assessments for counterparties across global trading operations. Monitor alerts, review KYC documentation, assess PEPs/sanctioned entities, maintain counterparty data lifecycle, escalate issues, and coordinate with trading desks and external counterparties to ensure AML/CFT and sanctions compliance.

Supports global compliance programs across financial crime, regulatory change, public compliance, and compliance testing. Responsibilities may include monitoring regulatory developments, assessing risks, reviewing policies and controls, testing compliance procedures, escalating issues, and collaborating with business teams, regulators, senior management, and global stakeholders. The role requires strong analytical judgment, organization, communication, confidentiality, and the ability to manage competing deadlines in a fast-paced environment.