Top Compliance Analyst Jobs

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.

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.

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.

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.

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.

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.