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Become A Senior Compliance Analyst

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Working As A Senior Compliance Analyst

  • $86,936

    Average Salary

What Does A Senior Compliance Analyst Do At Abbvie

* Provides direct oversight for basic and routine elements of AbbVie’s compliance program at the franchise, business unit, or corporate level.
* Responsible for directing the development and administration of OEC education and training, and development and implementation of Corporate Function monitoring plans.
* Identifies compliance risk and elevates to ECO.
* The Senior Analyst performs the following activities to support all Corporate Functions with moderate to significant supervision from Compliance Director:
* o Partners with all levels of key business functions to provide basic and routine OEC and business unit policy interpretation and requirements, compliance risk assessment, trend analysis and best practice recommendations.
* o Conducts basic and routine policy and procedure reviews and updates related to OEC policy and business unit procedures ensuring clarity, applicability and compliance.
* o Develops, delivers and updates OEC’s comprehensive training program on basic and routine OEC and business unit policies and procedures including OPPF and AbbVie's Code of Business Conduct.
* Assists with development and delivery of training on moderately complex OEC and business unit policies and procedures.
* o Develops, implements, modifies, and oversees corporate and other business unit monitoring plans to ensure compliance with policies and procedures.
* o Assists Compliance Director/ECO on compliance audits, oversees the fulfillment of auditors’ requests, acts as liaison between business and auditors during on site activities, evaluates and responds to all basic and routine preliminary findings and recommendations, guides the business in preparing corrective action to address basic and routine findings and recommendations, and ensures timely completion.
* o Provides guidance on proposed strategic initiatives identifies basic legal and regulatory issues, analyzes alternatives and works with Legal, as appropriate, to propose solutions to the business.
* o Possesses working knowledge of AbbVie’s business and client areas supported.
* o Operates independently within well-defined expectations, checking in as necessary with supervisor(s).
* o Provides guidance and direction to Coordinators, Compliance Analysts, as needed.
* The successful candidate for this role will also be responsible for supporting the broader Brand Compliance Support team in various compliance activities

What Does A Senior Compliance Analyst Do At E*Trade Financial

* Supporting the Compliance Officer with the administration and maintenance of ETCM's Compliance program
* Creating ADV Part 2B disclosure documents for Financial Consultants
* Performing special projects and other duties as assigned by Compliance Officer and coordinate efforts with various business and product teams
* Staying current on relevant regulatory developments and industry best practices
* Revising and developing new policies and procedures for the firm
* Reviewing the adequacy of the Firm's procedures to validate adherence with Advisers Act Rule 206(4)
* Verifying controls and surveillance activities are established and working as designed
* Identifying major risk factors for the Firm and implement strategies to reduce regulatory risk
* Assisting in the development and delivery of regulatory training programs for sales and supervisory personnel
* Contributing to the development of enterprise-wide risk assessments and Compliance policies

What Does A Senior Compliance Analyst Do At Harris Associates L.P.

* Provide daily assistance to the Deputy Chief Compliance Officer (CCO), CCO and other Compliance colleagues in determining the adequacy and effectiveness of the firm’s compliance-related policies and procedures through verification and testing of the compliance-related control environment built into various business processes.
* Develop a strong understanding of the firm's Compliance program policies and procedures, various desktop procedures that exist throughout business units, and myriad regulatory requirements to which the firm is subject (e.g., SEC, FINRA, ERISA, etc.).
* Serve as a subject matter expert on all firm-wide compliance-related and SOC 1 processes and controls described in the firm’s Compliance program policies and procedures and the SOC 1 report, respectively; and assist in determining if business and IT controls are suitably designed and operating effectively.
* Utilize the various systems and applications (proprietary or otherwise) used by the firm in conducting day-to-day business activities and functions (e.g., Advent Axys, Salesforce, ITG, etc.) and independently obtain and manipulate data from these systems for use in verifying and testing relevant processes and controls.
* Interact with business units, including management, to understand relevant processes that surround control-activities under review/ tested, and provide guidance on developing suitable processes and controls to improve the overall control environment.
* Routinely prepare written reports that describe the relevant aspects of testing activities performed, highlighting any findings or exceptions in a concise and articulate manner.
* Provide assistance with regulatory filings (e.g., FINRA/CRD, SEC, etc.).
* Cross-train with other functions within the Compliance department including the function responsible for monitoring compliance with client investment guidelines and restrictions.
* Perform other duties and special project work as assigned

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 Wyndham Worldwide

* Supporting the ongoing Business Unit compliance assessment program for all Business Units.
* Developing process and procedure improvements to aidin efficienciesin assessment activities.
* Coordinate interviews and data collection sessions for each BU assessment in the program
* Prepare dashboards and detailed reports for senior management for all initiative status andremediation tracking
* Work with the Manager of BU Compliance to utilize the eGRC application for assessment efficiencies
* Assist other Risk and Compliance staff with their assessments ensuring consistency in the program
* Attending Project meetings to gather information affecting changes to Business Unit Compliance
* Supporting other departmental activities as needed (Vendor IS Risk Assessments,AssystQueueprocessing, cabmeetings,and other similar activities with on the department’s responsibilities

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Senior Compliance Analyst Career Paths

Senior Compliance Analyst
Compliance Manager Senior Manager Controller
Accounting Director
11 Yearsyrs
Senior Project Manager Managing Director Risk Management Director
Chief Risk Officer
10 Yearsyrs
Project Manager Program Manager Human Resources Manager
Compensation Director
13 Yearsyrs
Senior Paralegal Compliance Analyst Compliance Manager
Compliance Director
12 Yearsyrs
Compliance Vice President Vice President And Manager Compliance Specialist
Compliance Project Manager
9 Yearsyrs
Senior Business Analyst Controller Assistant Vice President
Compliance Vice President
12 Yearsyrs
Project Manager Construction Manager Contracts Manager
Contracts Director
12 Yearsyrs
Compliance Director Risk Management Director Compliance Officer
Corporate Compliance Director
11 Yearsyrs
Assistant Vice President Senior Manager Controller
Finance Controller
9 Yearsyrs
Program Manager Management Consultant Finance Consultant
Finance Project Manager
8 Yearsyrs
Senior Paralegal Contracts Administrator Auditor
Internal Audit Manager
8 Yearsyrs
Assistant Vice President Office Manager Property Manager
Regional Property Manager
7 Yearsyrs
Compliance Director
Regulatory Compliance Director
13 Yearsyrs
Senior Project Manager Vice President And Manager Compliance Specialist
Regulatory Compliance Manager
11 Yearsyrs
Senior Business Analyst Senior Project Manager Managing Director
Risk Management Director
10 Yearsyrs
Program Manager Portfolio Manager Underwriter
Underwriting Manager
8 Yearsyrs
Compliance Manager Assistant Vice President Vice President And Manager
Vice President Operation Manager
10 Yearsyrs
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Do you work as a Senior Compliance Analyst?

Senior Compliance Analyst Demographics

Gender

Female

53.5%

Male

44.2%

Unknown

2.3%
Ethnicity

White

59.2%

Hispanic or Latino

15.9%

Black or African American

11.6%

Asian

9.5%

Unknown

3.8%
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Foreign Languages Spoken

Spanish

48.5%

French

8.8%

Portuguese

5.9%

Chinese

5.9%

Russian

4.4%

German

2.9%

Arabic

2.9%

Italian

2.9%

Hindi

1.5%

Filipino

1.5%

Czech

1.5%

Malayalam

1.5%

Cantonese

1.5%

Ukrainian

1.5%

Persian

1.5%

Bengali

1.5%

Tagalog

1.5%

Mandarin

1.5%

Urdu

1.5%

Carrier

1.5%
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Senior Compliance Analyst Education

Schools

University of Phoenix

19.4%

University of South Florida

8.2%

University of Houston

5.2%

Strayer University

5.2%

Pennsylvania State University

4.5%

Fordham University

4.5%

DePaul University

4.5%

Boston University

4.5%

Syracuse University

3.7%

New York University

3.7%

University of Maryland - University College

3.7%

University of California - Los Angeles

3.7%

Florida Atlantic University

3.7%

Howard University

3.7%

Villanova University

3.7%

University of Central Florida

3.7%

University of Colorado at Boulder

3.7%

Northeastern University

3.7%

Hofstra University

3.7%

Pace University - New York

3.0%
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Majors

Business

30.6%

Law

10.8%

Finance

9.6%

Accounting

8.0%

Criminal Justice

5.9%

Political Science

4.7%

Management

3.7%

Legal Support Services

3.1%

Marketing

3.1%

Economics

2.4%

Psychology

2.4%

Human Resources Management

2.4%

Health Care Administration

2.1%

Project Management

1.9%

Liberal Arts

1.7%

Computer Information Systems

1.7%

Public Administration

1.6%

Communication

1.6%

Education

1.4%

International Business

1.2%
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Degrees

Bachelors

45.7%

Masters

23.3%

Other

11.6%

Doctorate

9.5%

Associate

5.5%

Certificate

3.8%

Diploma

0.5%

License

0.1%
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Job type you want
Full Time
Part Time
Internship
Temporary

Real Senior Compliance Analyst Salaries

Job Title Company Location Start Date Salary
Senior Control & Compliance Data Analyst/Programmer (VP) Jpmorgan Chase & Co. New York, NY Oct 08, 2015 $121,500
Senior Control & Compliance Data Analyst/Programmer (VP) JP Morgan Chase & Co New York, NY Mar 11, 2015 $120,000
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
Technology Compliance Senior Analyst Salesforce.Com Inc. San Francisco, CA Sep 19, 2016 $96,013
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 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 Analyst, Tax Compliance The Gap, Inc. San Francisco, CA Dec 21, 2015 $80,000 -
$95,000
Senior Global Trade Compliance Analyst American Axle & Manufacturing, Inc. Detroit, MI Apr 01, 2015 $80,000
Senior Compliance Analyst Jpmorgan Chase & Co. Iselin, NJ Nov 11, 2014 $79,994
Senior Analyst, Internal Audit/Sox Compliance Navistar, Inc. Warrenville, IL Sep 17, 2011 $78,964
Senior Analyst, SEC Reporting and Compliance Onyx Pharmaceuticals, Inc. South San Francisco, CA Sep 17, 2013 $78,763
SR. Trade Compliance Analyst Symantec Corporation Mountain View, CA Oct 01, 2015 $78,750
Senior Analyst, Anti-Corruption Compliance Wal-Mart Associates, Inc. Bentonville, AR Jan 26, 2015 $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
Senior Analyst, Tax Compliance The Royal Bank of Scotland, PLC. Stamford, CT Aug 10, 2009 $70,000
Senior Analyst, Tax Compliance The Royal Bank of Scotland, PLC. Stamford, CT Aug 03, 2009 $70,000

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Top Skills for A Senior Compliance Analyst

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  1. Audit
  2. Procedures
  3. Regulatory Requirements
You can check out examples of real life uses of top skills on resumes here:
  • Orchestrate details and reconciliations of New York State Department of Financial Services regulatory examination and outside auditors.
  • Demonstrated leadership by facilitating daily meetings, learning sessions and submitting efficiency ideas to make procedures more efficient.
  • Collaborated with Compliance Department and Corporate counsel to assure health plan compliance with state, federal legislation and regulatory requirements.
  • Determined the relevancy of financial statements and additional client-related data in order to satisfy subpoena requests.
  • Conducted on-site annual inspections of OSJ locations to determine compliance with regulatory and firm requirements.

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Top 10 Best States for Senior Compliance Analysts

  1. District of Columbia
  2. Connecticut
  3. Massachusetts
  4. Texas
  5. Alaska
  6. Minnesota
  7. Delaware
  8. New Jersey
  9. Virginia
  10. Maryland
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  • (923 jobs)
  • (15 jobs)
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  • (834 jobs)
  • (384 jobs)

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