UNKNOWN

FEED

Experience (ideally 5 - 8 years) in senior compliance, risk management, legal, or regulatory roles within the financial services sector, with a significant portion in an SEC-registered investment adviser and/or a highly regulated environment. The Compliance Officer will be instrumentally involved in overseeing, administrating and enhancing the Compliance Program of Institutional Shareholder Services Inc. ("ISS"), a U.S.-registered investment adviser under the Investment Advisers Act of 1940, covering also its foreign affiliates.

YEAR

ISS ESG CORPORATE RATING

Compliance Officer

Headquartered in Dallas with offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, Texas Capital was recently named Best Regional Bank in 2024 by Bankrate and was named to The Dallas Morning News' Dallas-Fort Worth metroplex Top Workplaces 2023 and GoBankingRate's 2023 list of Best Regional Banks. The analyst partners with Lending, Credit, Compliance, Legal, Loan Operations, and external vendors to facilitate timely loan closings, maintain portfolio compliance, mitigate risk, and ensure adherence to federal flood insurance regulations throughout the life of the loan.

Texas Capital Bancshares Inc

Loan Operations - Funding & Flood Compliance Analyst

This role serves as a trusted advisor to customers, auditors, regulators, executives, and internal stakeholders while driving certification readiness, continuous compliance, authorization activities, and risk management initiatives across cloud, hybrid, and on-premises environments. How You Will Make an Impact: Lead and support end-to-end compliance efforts for our U.S. Federal customers, including readiness assessments, audits, continuous monitoring activities and deliverables to ensure sustained security posture and compliance with customer security requirements.

Entrust Corp

Principal Security Compliance Analyst (FedRAMP) - Remote, U.S.

From filing to planning to onboarding, april’s white-labeled tools bring real-time tax intelligence into the platforms people already use, helping users understand the impact of every paycheck, equity transaction, or income shift, and stay on top of tax payments throughout the year. Built to handle even the most complex tax situations, april’s AI-powered tax engine ingests data directly from partner apps to deliver accurate outcomes in record time—making tax planning and filing more connected, contextual, and accessible than ever.

april

Compliance Analyst

Headquartered in Dallas with offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, Texas Capital was recently named Best Regional Bank in 2024 by Bankrate and was named to The Dallas Morning News ’ Dallas-Fort Worth metroplex Top Workplaces 2023 and GoBankingRate’s 2023 list of Best Regional Banks. The analyst partners with Lending, Credit, Compliance, Legal, Loan Operations, and external vendors to facilitate timely loan closings, maintain portfolio compliance, mitigate risk, and ensure adherence to federal flood insurance regulations throughout the life of the loan.

Texas Capital Bank

Loan Operations – Funding & Flood Compliance Analyst

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The role proactively identifies potential compliance risks, researches evolving legal and client requirements, recommends practical solutions using established guidance and precedent, and escalates complex or high-risk matters as appropriate. Compliance Programs & Strategic Initiatives: Coordinate assigned cross-functional compliance initiatives under the general direction of People Operations Compliance leadership by completing tasks such as: Support the development and implementation of updates to policies and processes across applicable jurisdictions.

Cotiviti Holdings Inc. (Inactive)

Senior HR Compliance Analyst

The successful candidate will work closely with Compliance, Legal, Risk, Operations, and business stakeholders to assess regulatory compliance, document findings, and help strengthen the organization's consumer protection framework. This role will be responsible for executing compliance reviews, evaluating regulatory controls, identifying compliance risks, and supporting ongoing oversight of payment products and services.

Madison-Davis

Payments Monitoring & Testing Compliance Analyst

HaleyMarketing

Support GDP document control, ensuring current-version documents are used, recorded, and retained using Expeditors systems. Global supply chain management is what we do, and at the heart of Expeditors you will find professionalism, leadership, and a friendly environment, all of which foster an innovative, customer service-based approach to logistics.

Expeditors International of Washington, Inc.

Quality And Compliance Analyst

We connect Payers, Providers, and Members through innovative technology and streamlined workflows affording Members access to top local Providers and culturally competent care. JOB QUALIFICATIONS: KNOWLEDGE/SKILLS/ABILITIES The Compliance Analyst’s responsibilities include but are not limited to: The primary focus of this role will be to conduct audits of vendors and healthcare providers in support of our FWA monitoring processes.

Integra Partners

The Deputy will be a trusted advisor to the CEO, General Counsel, Chief Compliance Officer, senior management and fund boards, proactively de-risking the organization by anticipating issues, fixing root causes and bringing forward solutions - not simply identifying problems. Broker-dealer compliance, including building a compliance infrastructure for a captive broker-dealer incorporating Securities Exchange Act of 1934 and FINRA compliance, and maintaining compliance to meet the needs of the affiliated investment adviser and ETF Series Trusts.

Tidal Financial Group

Deputy Chief Compliance Officer

Based in NYC, our results-driven environment drives us to build better products, grow faster and empower everyone on our team to have an impact on our business and mission to improve financial outcomes. Regulatory Complaint Response: Analyze communications of dissatisfaction from our customers to identify potential regulatory risk; research individual cases.

Current

Consumer Compliance Senior Analyst, Complaints

IRecruitee

FULL_TIME

Responsibilities: Independently supports federal, state, and local income tax compliance for partnership and corporate entities by gathering and validating tax data, preparing workpapers and schedules, coordinating complex information requests, and reviewing returns prepared by external advisors for completeness and consistency. Through 815+ clinics, 23 IVF labs, nationwide telehealth capabilities and targeted case management, our 2,700+ independent, affiliated providers deliver comprehensive women’s health services and continuously work to implement methods and develop techniques or platforms that improve the healthcare experience.

Unified Women's Healthcare

Senior Analyst, Tax Compliance

[AW]-iCims

The AI Governance & Compliance Analyst will be the operational backbone of Cvent's AI governance program, working within the Information Security (InfoSec) Risk & Compliance team and collaborating closely with Legal, Product Management, Engineering, and Corporate teams to ensure every AI initiative - whether a new SaaS vendor, an internal LLM integration, or a customer-facing AI feature - is reviewed, approved, monitored, and continuously compliant. Founded in 1999, Cvent delivers a comprehensive event marketing and management platform for marketers and event professionals and offers software solutions to hotels, special event venues and destinations to help them grow their group/MICE and corporate travel business.

Cvent, Inc.

Senior Analyst Security Risk and Compliance (AI Risk Governance)

Compliance Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Come be part of a team of compliance professionals helping to invent the future of Fidelity by supporting a wide array of initiatives providing better ways for employers to successfully handle employee benefits, and for customers to handle their financial needs.

We help over ~40 million people feel more confident in their most important financial goals, manage employee benefit programs for nearly 23,000 businesses, and support more than 3,600 advisory firms* with innovative investment and technology solutions to grow their businesses.


Our diverse businesses and independence give us insight into the entire market and the stability needed to think and act for the long term as we deliver value to you.

Fidelity

This role provides compliance leadership, supports audits and inspections, drives continuous improvement initiatives, and serves as a key partner in managing quality and compliance risks across the QC function. With facilities in Bloomington, Indiana, US and Halle/Westfalen, Germany, we offer a wide range of delivery systems including pre-filled syringes, liquid/lyophilized vials, diluents for reconstitution, powder-filled vials and sterile crystallization.

Simtra BioPharma Solutions

Quality Lab Associate III - QC Compliance Analyst

2. Reviews and monitors utilization records and 340B purchasing accounts to ensure software or tools are working properly and accurately, performing audits or compliance assessments to validate processes. Independent audits and appraisals are designed to assist the leadership of WVUHS to meet the 340B Drug Pricing Program goals of regulatory compliance, program effectiveness and program excellence.

WVU Medicine

340B Audit & Compliance Analyst - Mixed-Use Pharmacy

Receives, analyzes, interprets, and responds to regulatory matters and/or inquiries from the various state departments of insurance, federal agencies, self-regulatory organizations, industry associations, and/or internal and external customers. Monitors regulatory changes, updates compliance policies, and conducts regular compliance audits to ensure the company remains compliant with all relevant laws and regulations.

GAIC Great American Insurance Company

Senior Compliance Analyst

Enterprise 340B Audit & Compliance Analyst - Finance

The SLG 1st Line of Defense (LOD) Compliance Specialist is responsible for partnering with multiple areas of FirstBank, including Corporate Compliance and Risk Management, in addition to other 1st LOD Compliance Specialists and teams, in order to identify and mitigate regulatory compliance risk for the SLG. This person must maintain a solid working knowledge of the banking regulatory environment and have the ability to coach, counsel, and communicate with the business line in an effective manner.

FB Financial Corp

SLG First Line Compliance Analyst

Benefits: The following benefits are effective the 1st of the following month after your first day on the job:* Company-paid Medical Plan (For employee only)* Medical, Dental & Vision plans for self or dependents* Company-paid $25000.00 life insurance* Supplemental life Insurance * Employee Assistance Program*Accidental Death & Dismemberment OTHER BENEFITS: (Some after 90 days of employment) * Mileage Reimbursement* Company-paid holidays* Paid vacation time* Paid sick time* and more. Primary functions will include assessing service delivery, documentation compliance, monitoring of client records, and serving as the representative for audits taking place at assigned regional programs of the company.

Compliance Analyst Jobs in the United States

Compliance Officer ISS ESG CORPORATE RATING

Loan Operations - Funding & Flood Compliance Analyst Texas Capital Bancshares Inc

Principal Security Compliance Analyst (FedRAMP) - Remote, U.S. Entrust Corp

Compliance Analyst april

Loan Operations – Funding & Flood Compliance Analyst Texas Capital Bank

Senior HR Compliance Analyst Cotiviti Holdings Inc. (Inactive)

Payments Monitoring & Testing Compliance Analyst Madison-Davis

Quality And Compliance Analyst Expeditors International of Washington, Inc.

Compliance Analyst Integra Partners

Deputy Chief Compliance Officer Tidal Financial Group

Consumer Compliance Senior Analyst, Complaints Current

Senior Analyst, Tax Compliance Unified Women's Healthcare

Senior Analyst Security Risk and Compliance (AI Risk Governance) Cvent, Inc.

Compliance Analyst Fidelity

Quality Lab Associate III - QC Compliance Analyst Simtra BioPharma Solutions

340B Audit & Compliance Analyst - Mixed-Use Pharmacy WVU Medicine

Senior Compliance Analyst GAIC Great American Insurance Company

Enterprise 340B Audit & Compliance Analyst - Finance WVU Medicine

SLG First Line Compliance Analyst FB Financial Corp

QA Compliance Analyst Empowered Milestones, LLC

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