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Become A Compliance Analyst

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Working As A Compliance Analyst

  • Getting Information
  • Analyzing Data or Information
  • Communicating with Supervisors, Peers, or Subordinates
  • Evaluating Information to Determine Compliance with Standards
  • Making Decisions and Solving Problems
  • Deal with People

  • Mostly Sitting

  • $59,717

    Average Salary

What Does A Compliance Analyst Do

Financial examiners ensure compliance with laws governing financial institutions and transactions. They review balance sheets, evaluate the risk level of loans, and assess bank management.

Duties

Financial examiners typically do the following:

  • Monitor the financial condition of banks and other financial institutions
  • Review balance sheets, operating income and expense accounts, and loan documentation to confirm institution assets and liabilities
  • Prepare reports that detail an institution’s safety and soundness
  • Examine the minutes of meetings of managers and directors
  • Train other examiners in the financial examination process
  • Review and analyze new regulations and policies to determine their impact on the organization
  • Establish guidelines for procedures and policies that comply with new and revised regulations

Financial examiners typically work in one of two main areas: risk scoping or consumer compliance.

Those working in risk scoping evaluate the health of financial institutions. Their role is to ensure that banks and other financial institutions offer safe loans and that they have enough cash on hand to handle unexpected losses. These procedures help ensure that the financial system as a whole remains stable. These examiners also evaluate the performance of bank managers.

Financial examiners working in consumer compliance monitor lending activity to ensure that borrowers are treated fairly. They ensure that banks extend loans that borrowers are likely to be able to pay back. They help borrowers avoid “predatory loans”—loans that may generate profit for banks through high interest payments but may be costly to borrowers and damage their credit scores. Examiners also ensure that banks do not discriminate against borrowers based on ethnicity or other characteristics.

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How To Become A Compliance Analyst

Financial examiners typically need a bachelor’s degree that includes some coursework in accounting. Entry-level examiners are trained on the job by senior examiners.

Education

Specific requirements for financial examiners vary between federal and state governments. However, all financial examiners typically need a bachelor’s degree that includes some coursework in accounting, finance, economics, or a related field. Examiners working for the Federal Deposit Insurance Corporation (FDIC) must have at least 6 semester hours in accounting.

Training

Once hired, financial examiners receive on-the-job training. Entry-level workers begin under the supervision of senior examiners, as they learn their job duties.

Advancement

After a few years of experience, financial examiners can advance to a senior examiner position. Requirements for these positions vary by employer but often require a master’s degree in either accounting or business or becoming a Certified Public Accountant (CPA).

Important Qualities

Analytical skills. Financial examiners need strong analytical skills to evaluate how well the managers of financial institutions are handling risk and whether the individual loans the institution makes are safe.

Detail oriented. Financial examiners must pay close attention to details when reviewing balance sheets to identify risky assets.

Math skills. Financial examiners need good math skills to monitor balance sheets and see if the bank’s or other financial institution’s available cash is dangerously low.

Writing skills. Financial examiners regularly write reports on the safety and soundness of financial institutions. They must be able to explain technical information clearly.

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Compliance Analyst jobs

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Compliance Analyst Career Paths

Compliance Analyst
Compliance Officer Safety Manager Human Resources Manager
Assistant Vice President
7 Yearsyrs
Compliance Specialist Compliance Officer
Chief Compliance Officer
13 Yearsyrs
Senior Accountant Senior Analyst Risk Manager
Chief Risk Officer
11 Yearsyrs
Senior Accountant Accounting Manager
Corporate Accounting Manager
8 Yearsyrs
Senior Finance Analyst Contracts Manager Compliance Manager
Corporate Compliance Director
10 Yearsyrs
Contracts Manager Contracts Administrator Senior Finance Analyst
Finance Project Manager
7 Yearsyrs
Investigator Security Specialist Information Security Analyst
Information Security Officer
12 Yearsyrs
Contracts Manager Senior Manager Internal Auditor
Internal Audit Manager
8 Yearsyrs
Senior Analyst Assistant Vice President
Manager, Assistant Vice President
7 Yearsyrs
Assistant Vice President Project Manager Program Manager
Operations Director
9 Yearsyrs
Compliance Manager Senior Manager Controller
Operations Manager
7 Yearsyrs
Compliance Specialist Compliance Manager Senior Manager
President Of Operations
11 Yearsyrs
Business Analyst Project Manager
Program Manager
8 Yearsyrs
Senior Business Analyst Senior Consultant Risk Manager
Risk Management Director
7 Yearsyrs
Compliance Officer Compliance Manager Assistant Vice President
Risk Manager
8 Yearsyrs
Assistant Vice President Human Resources Coordinator Human Resources Generalist
Senior Human Resources Generalist
7 Yearsyrs
Business Analyst Senior Consultant
Senior Manager
10 Yearsyrs
Investigator Technician Service Manager
Service Operations Manager
8 Yearsyrs
Senior Analyst Senior Finance Analyst Assistant Vice President
Vice President And Manager
10 Yearsyrs
Compliance Manager Assistant Vice President
Vice President Operation Manager
9 Yearsyrs
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Average Length of Employment
Staff Analyst 3.8 years
Compliance Manager 3.2 years
Compliance Officer 3.2 years
Compliance Auditor 2.9 years
Analyst 2.4 years
Compliance Analyst 2.0 years
Top Employers Before
Analyst 9.2%
Internship 8.7%
Law Clerk 4.7%
Paralegal 4.3%
Consultant 3.7%
Associate 3.6%
Specialist 3.4%
Supervisor 3.2%
Top Employers After
Analyst 9.5%
Consultant 5.6%
Associate 3.8%
Manager 3.3%
Paralegal 2.8%

Compliance Analyst Demographics

Gender

Female

55.5%

Male

42.1%

Unknown

2.4%
Ethnicity

White

75.7%

Hispanic or Latino

11.8%

Asian

8.8%

Unknown

2.5%

Black or African American

1.2%
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Languages Spoken

Spanish

47.4%

French

14.1%

Mandarin

4.7%

Portuguese

4.7%

Chinese

4.4%

Russian

3.9%

German

3.0%

Italian

2.8%

Korean

2.5%

Arabic

2.5%

Hindi

1.7%

Japanese

1.4%

Vietnamese

1.1%

Greek

1.1%

Turkish

0.8%

Filipino

0.8%

Tagalog

0.8%

Persian

0.8%

Polish

0.8%

Gujarati

0.6%
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Compliance Analyst Education

Schools

University of Phoenix

23.5%

Strayer University

7.3%

University of South Florida

6.0%

Florida State University

5.6%

New York University

4.3%

Pennsylvania State University

4.1%

Ashford University

4.0%

George Mason University

4.0%

Suffolk University

4.0%

Boston University

4.0%

University of Delaware

3.8%

State University of New York Buffalo

3.6%

Fordham University

3.6%

University of Houston

3.6%

Temple University

3.2%

University of Denver

3.2%

Indiana Wesleyan University

3.2%

University of North Florida

3.0%

Walden University

3.0%

University of Connecticut

3.0%
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Majors

Business

30.9%

Finance

10.3%

Law

9.4%

Accounting

8.2%

Management

4.4%

Criminal Justice

4.3%

Economics

3.4%

Marketing

3.2%

Political Science

3.1%

Legal Support Services

3.0%

Health Care Administration

2.8%

Psychology

2.5%

Communication

2.5%

Computer Information Systems

2.2%

Human Resources Management

2.1%

Project Management

1.7%

Legal Research And Advanced Professional Studies

1.6%

Public Administration

1.4%

History

1.4%

Liberal Arts

1.4%
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Degrees

Bachelors

44.1%

Masters

23.9%

Other

13.2%

Doctorate

7.6%

Associate

6.1%

Certificate

4.2%

Diploma

0.7%

License

0.2%
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Job type you want
Full Time
Part Time
Internship
Temporary

Real Compliance Analyst Salaries

Job Title Company Location Start Date Salary
Security and Compliance Analyst Servicenow, Inc. Santa Clara, CA Jan 08, 2015 $132,500
Compliance and Translation Analyst Edifecs, Inc. Bellevue, WA Apr 29, 2016 $118,706 -
$128,000
Risk Management/Compliance Analyst Corona Hotel Realty LLC NY Apr 08, 2016 $117,500
Regulatory & Compliance Analyst Shanti Pharmacy Corp. DBA Silver Rod Drugs New York, NY Jan 04, 2016 $116,230
Lead Compliance Analyst Axiom Software Laboratories New York, NY Mar 06, 2016 $115,500
Lead Compliance Analyst Axiom Software Laboratories New York, NY Jun 15, 2016 $115,500
Lead Compliance Analyst Axiom Software Laboratories New York, NY Jun 06, 2016 $115,500
Compliance Analyst Cubist Systematic Strategies, LLC New York, NY Jan 10, 2016 $115,000
Technology Compliance Analyst Facebook, Inc. Menlo Park, CA Nov 21, 2016 $115,000
Compliance Analyst Cubist Systematic Strategies, LLC New York, NY Oct 01, 2016 $115,000
Pharmaceutical Regulatory Compliance Analyst TEVA Pharmaceuticals USA, Inc. Irvine, CA Oct 19, 2016 $113,650 -
$120,000
Lead Compliance Analyst, Information Security Thomson Reuters Holdings Inc. Eagan, MN Jun 15, 2015 $102,000
Compliance Analyst Nvidia Corporation Santa Clara, CA Feb 17, 2015 $101,539 -
$112,988
Regulatory and Compliance Analyst, II Jojan Pharma Inc. New York, NY Dec 30, 2016 $67,434
Trade Compliance Analyst Leviton Manufacturing Co., Inc. Chula Vista, CA Nov 19, 2015 $66,664
Complianace Analyst National Bank of Canada New York, NY Apr 22, 2015 $65,500 -
$75,000
Compliance Analyst National Bank of Canada New York, NY May 05, 2015 $65,500 -
$75,000
Compliance Analyst National Bank of Canada New York, NY May 06, 2015 $65,500 -
$70,000
Regulatory & Compliance Analyst Pareek Inc. Plano, TX Jan 15, 2015 $65,187
Validation and Compliance Analyst Cignus Solutions LLC New York, NY Sep 11, 2015 $65,000
Validation and Compliance Analyst Cignus Solutions LLC Vernon Hills, IL Feb 15, 2016 $65,000
Regulatory & Compliance Analyst Merk Pharma Inc. New York, NY Sep 03, 2015 $57,873
Regulatory & Compliance Analyst Pharma Care Inc. New York, NY Sep 13, 2015 $57,873
Regulatory & Compliance Analyst Jefferson Pharma LLC New York, NY Sep 23, 2015 $57,873
Regulatory & Compliance Analyst Db Medical Supplies Inc. New York, NY Sep 15, 2015 $57,873
Regulatory & Compliance Analyst Bright Pharma Inc. New York, NY Sep 16, 2015 $57,873
Regulatory & Compliance Analyst Mishkins Pharma LLC New York, NY Sep 13, 2015 $57,873
Regulatory & Compliance Analyst Pharmore RX Inc. New York, NY Sep 17, 2015 $57,873
Risk Control Compliance Analyst The Travelers Indemnity Company Franklin, TN Nov 17, 2016 $57,845 -
$62,000

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Top Skills for A Compliance Analyst

ProceduresRegulatoryRequirementsComplianceAuditsFinancialStatementsCompliancePoliciesEnsureComplianceSuspiciousActivityDueDiligenceInvestigationsSarbanes-OxleyKnowYourCustomerOfacFraudHighRiskAnti-MoneyRegulatoryComplianceComplianceIssuesCorrectiveActionPlansSecrecyBusinessUnitsBsa/Aml

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Top Compliance Analyst Skills

  1. Procedures
  2. Regulatory Requirements
  3. Compliance Audits
You can check out examples of real life uses of top skills on resumes here:
  • Assisted existing staff in clarification of policy and procedures.
  • Conduct alert investigation using global standard policies, procedures and tools, aimed at meeting internal and external regulatory requirements.
  • Review social compliance audits to ensure they meet Disney s Minimum Compliance Standards.
  • Study financial statements of organizations and investigate errors, discrepancies, forged/exaggerated information within the documents.
  • Developed compliance policies and procedures.

Top Compliance Analyst Employers

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