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Become A Senior Compliance Analyst

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Working As A Senior 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

  • $75,050

    Average Salary

What Does A Senior Compliance Analyst Do At Principal Financial Group

* Support of the Registered Investment Advisor and Broker Dealer in monitoring various compliance aspects of operations
* Keep abreast of legislative and regulatory changes and make policy or procedure recommendations for records of the broker dealer
* May assist the affected business units in implementing changes to policy or procedure
* May audit and evaluate current policies, procedures, and documentation for compliance with laws and regulations
* Advise senior management of any gaps or deficiencies in compliance program and work together to address them
* May prepare documentation and respond to requests for information by auditors or regulators

What Does A Senior Compliance Analyst Do At Metlife

* Oversee global training programs for Privacy compliance and prepares training materials
* Conduct and update global risk assessments for Privacy
* Validate, and challenge where appropriate, risk assessments conducted by local compliance teams
* Maintain and analyze risk-related metrics on all MetLife operations globally
* Create risk reports and trending reports for senior management, regional management, and country compliance teams
* Review and advise the business on third-party engagements, and other matters, to ensure appropriate privacy risk mitigation
* Provide guidance to MetLife global operations on the application of our global policies
* Conduct, and support MetLife’s global operations with, privacy impact assessments for new products/services, processes, and projects
* Coordinate with cross-functional partners, including IT Risk & Security, Global Procurement/Third Party Risk Management, and Data and Information Governance, to execute on collective strategy and analyze key risk metrics

What Does A Senior Compliance Analyst Do At Citi

* Independently conduct searches, gather data and record evidence from Citi internal systems, the internet and commercial databases
* Independently assess and analyze research results and conduct complex data analysis applying background knowledge and experience
* Conduct enhanced due diligence investigations in support of policies and procedures
* Conduct investigation using global standard policies, procedures and tools, aimed at meeting internal and external regulatory requirements
* Determine investigative and data analytics approach, use sound decision-making and discretion in making independent decisions that mitigate corporate risk at each decision point throughout the investigation
* Follow up with additional Point(s) of Contact (POC) as needed to identify additional information in support of the case
* Compile supporting documentation and data including media and transaction including documenting review findings for Compliance and Business management review
* Write and prepare Suspicious Activity Reports (SARs) and recommend relationship retention or terminatio

What Does A Senior Compliance Analyst Do At Milliman

* Work with Milliman’s Global Compliance Group, focusing on compliance programs, processes, and initiatives, and collaborate with other departments and practices in these areas.
* Participate in risk assessment activities to identify, reduce, and report on enterprise, technical, operational, and compliance risk in order to develop internal policies and procedures.
* Provide reports as requested to keep CCO and Compliance Manager informed of the operation and progress of compliance efforts.
* Collaborate with the Legal and Information Security teams in analyzing contracts to ensure information security and compliance objectives are adequately addressed.
* Collaborate with the Information Security team on Risk Assessment processes and assist in monitoring compliance with the program.
* Organize data and other key information to assist with improved compliance efficiencies.
* Collect and review HIPAA, Medicare and other regulatory compliance policies and procedures and provide reports to the Compliance Manager.
* Assist with the creation and maintenance of global policies and training programs, e.g., anti-bribery/corruption, anti-trust, etc.
* Respond to requests for information to support audit, regulatory, and technology standards reviews.
* Assist with internal audits and monitoring as necessary.
* Perform research and other duties as requested

What Does A Senior Compliance Analyst Do At Highmark Health

* Manage and coordinate compliance related processes.
* Monitor governance and compliance of rules, regulations, policies, and procedures and assist with appropriate audits, as applicable.
* Contacts may include legislators, consumers, special interest groups, advocacy agencies, CMS and other regulatory bodies such as DPW.
* Ensure systems are updated and accurate for compliance.
* Responsible for understanding and applying accreditation and regulatory requirements.
* May support Regulatory Compliance department to ensure all state renewals, applications, and annual reports are completed accurately and timely.
* Depending on department may be responsible for one of the following: the delegation oversight of subcontractors when applicable to ensure compliance with health plan standards and policies and regulatory bodies; performing and providing oversight of the care management delegation functions of multiple vendors through review of annual assessments, monthly performance reporting and analysis of reports to ensure adherence to regulatory and accreditation standards.
* Other duties as assigned or requested.
* III

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How To Become A Senior 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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Senior Compliance Analyst jobs

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Real Senior Compliance Analyst Salaries

Job Title Company Location Start Date Salary
Senior Quality and Compliance Analyst Genomic Health, Inc. Redwood City, CA Sep 10, 2014 $135,446
Senior Project and Global Legal Compliance Analyst Us Immigration Fund LLC Jupiter, FL Jan 04, 2016 $115,000
SR. SOX Compliance Analyst Fortinet, Inc. Sunnyvale, CA Nov 17, 2015 $110,000
Senior Compliance Analyst Axalta Coating Systems, LLC Glenolden, PA May 13, 2016 $109,117
Senior Compliance Analyst/Fcpa Qualcomm, Inc. San Diego, CA Oct 21, 2016 $106,662 -
$131,300
Senior Compliance Analyst, AML Core Citibank, N.A. Jersey City, NJ Jan 09, 2016 $100,000
Senior Project & Global Legal Compliance Analyst Us Immigration Fund LLC North Palm Beach, FL Apr 01, 2013 $96,000
Senior Compliance Analyst American General Life Insurance Company New York, NY Dec 21, 2015 $93,000
Senior Compliance Analyst, AML Investigation Citibank, N.A. Islandia, NY Jan 09, 2016 $91,500
Senior Compliance Analyst Citigroup Management Corp. Islandia, NY Sep 01, 2015 $89,000
Senior Revenue Compliance Analyst ICF International, Inc. Fairfax, VA Nov 01, 2010 $88,000
Senior Revenue Compliance Analyst ICF Incorporated, LLC Fairfax, VA Nov 01, 2010 $88,000
Senior Technology Compliance Analyst Comcast Cable Communications, LLC Philadelphia, PA Aug 15, 2011 $86,000
Senior Compliance Analyst Citigroup Management Corp. Islandia, NY Sep 11, 2014 $85,000
SR. Regulatory Compliance Analyst Stryker Endoscopy San Jose, CA Sep 10, 2012 $82,701
Senior Financial Compliance Analyst Stryker Neurovascular, A Division of Stryker Corpo Fremont, CA Mar 04, 2013 $82,000
Senior Global Trade Compliance Analyst American Axle & Manufacturing, Inc. Detroit, MI Apr 01, 2015 $80,000
Senior Compliance Analyst Jpmorgan Chase &Amp; Co. Iselin, NJ Nov 11, 2014 $79,994
SR. Trade Compliance Analyst Symantec Corporation Mountain View, CA Oct 01, 2015 $78,750
Senior Arbitration & Compliance Analyst Visa Inc. Miami, FL Mar 21, 2010 $76,036
Senior Sales and SOX Compliance Analyst Bard Medical Division Covington, GA Sep 07, 2016 $75,000
SR. Compliance Analyst Watkins Manufacturing Corporation Vista, CA Apr 16, 2013 $74,360 -
$87,776
SR. Compliance Analyst Watkins Manufacturing Corporation Vista, CA Aug 08, 2011 $74,214 -
$87,672
SR. Compliance Analyst Exelon Generation Company, LLC Baltimore, MD Dec 02, 2013 $73,861
SR. Trade Compliance Analyst TYCO Healthcare Group LP Hazelwood, MO Sep 24, 2010 $73,653
Senior Compliance Analyst Houston Independent School District Houston, TX Jan 01, 2016 $70,744
SR Compliance Analyst-Good Lab Practice The University of Texas Medical Branch Galveston, TX Sep 18, 2010 $69,576
Senior Compliance Analyst American Security Insurance Company Atlanta, GA Apr 20, 2014 $68,000

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Top Skills for A Senior Compliance Analyst

ProceduresRegulatoryRequirementsFinancialStatementsExternalAuditorsCompliancePoliciesSARSuspiciousActivityEnsureComplianceBusinessUnitsDueDiligenceFraudComplianceIssuesInternalAuditsOfacKnowYourCustomerRegulatoryComplianceCorrectiveActionAnti-MoneySOXFinra

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Top Senior Compliance Analyst Skills

  1. Procedures
  2. Regulatory Requirements
  3. Financial Statements
You can check out examples of real life uses of top skills on resumes here:
  • Developed policies and procedures for new mortgage servicing system.
  • Researched and analyzed federal and state law so as to measure the corporation's compliance with regulatory requirements and corporate objectives.
  • Researched financial statements, performed trend analysis and monitored suspicious activity within client's accounts.
  • Maintained relationship and coordinate efforts between external auditors and management.
  • Drafted compliance policies and best practices guidance on areas of compliance vulnerability; responded to initial legal claims.

Top Senior Compliance Analyst Employers

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