Compliance Analyst Financial Services

Compliance Analyst Job Description

Compliance analysts must possess knowledge of the rules, regulations and statutes regarding the issues of compliance. They should have a strong familiarity with corporate compliance policies and processes. Candidates must be able to communicate effectively with the CEO, board members and other senior managers and possess excellent writing, presentation, analytics and problem-solving skills. Candidates should have at least three to five years of experience in compliance, auditing or risk management. A bachelor’s degree in business, finance or accounting is required.

Typical compliance analyst duties:

Coordinating compliance processes and procedures across organizational and functional boundaries

Researching regulatory requirements, assisting in the development of internal policies and procedures to support the compliance department, and preparing various reports and other compliance documentation

Assisting in providing guidance to senior management regarding regulatory compliance policies, practices and internal controls

Ensuring critical business processes are well understood and documented with appropriate controls in place

Liaising with internal and external auditors regarding all aspects of corporate compliance issues

Maintaining strong working relationships across the organization and demonstrating the ability to establish cooperation

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Salary for Compliance Analyst Financial Services

79000 - 113000

25th percentile

79000

The candidate is new to the role and building the needed skills, experience and autonomy.

50th percentile

100250

The candidate has the experience to perform core responsibilities without direct supervision and is comfortable with the role’s processes and subject matter.

75th percentile

113000

The candidate delivers value beyond the stated job duties, has advanced qualifications and experience, and is ready for the next career level.

Projected salaries for related positions

Position title

25th percentile

50th percentile

75th percentile

Chief Compliance Officer – Financial Services

169750

196250

229500