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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

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 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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Senior Compliance Analyst Career Paths

Senior Compliance Analyst

Senior Compliance Analyst Demographics

Gender

Female

53.5%

Male

43.8%

Unknown

2.7%
Ethnicity

White

77.1%

Hispanic or Latino

10.4%

Asian

9.8%

Unknown

1.8%

Black or African American

0.9%
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Languages Spoken

Spanish

50.9%

French

10.9%

Portuguese

5.5%

Chinese

5.5%

German

3.6%

Russian

3.6%

Arabic

3.6%

Italian

3.6%

Hindi

1.8%

Ukrainian

1.8%

Cantonese

1.8%

Bengali

1.8%

Mandarin

1.8%

Urdu

1.8%

Malayalam

1.8%
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Senior Compliance Analyst Education

Schools

University of Phoenix

20.5%

University of South Florida

8.2%

Pennsylvania State University

5.7%

University of Houston

5.7%

Strayer University

5.7%

Fordham University

4.9%

University of Central Florida

4.1%

University of Colorado at Boulder

4.1%

Southern New Hampshire University

4.1%

Boston University

4.1%

New York University

3.3%

State University of New York Buffalo

3.3%

Villanova University

3.3%

Pace University - New York

3.3%

Fairleigh Dickinson University

3.3%

University of Maryland - University College

3.3%

Temple University

3.3%

Nova Southeastern University

3.3%

San Diego State University

3.3%

DePaul University

3.3%
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Majors

Business

28.9%

Finance

10.8%

Law

10.6%

Accounting

8.3%

Criminal Justice

6.0%

Political Science

5.5%

Management

3.4%

Economics

3.0%

Legal Support Services

2.8%

Human Resources Management

2.8%

Health Care Administration

2.6%

Psychology

2.1%

Project Management

1.9%

Communication

1.9%

Education

1.7%

Public Administration

1.7%

Marketing

1.7%

Liberal Arts

1.5%

Biology

1.5%

Computer Science

1.3%
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Degrees

Bachelors

46.1%

Masters

23.5%

Other

11.1%

Doctorate

9.2%

Associate

5.3%

Certificate

4.0%

Diploma

0.6%

License

0.1%
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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 &Amp; 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

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

Senior Compliance Analyst Videos

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