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Senior compliance analyst skills for your resume and career

Updated January 8, 2025
6 min read
Quoted expert
David Feldman Ph.D.
Senior compliance analyst example skills
Below we've compiled a list of the most critical senior compliance analyst skills. We ranked the top skills for senior compliance analysts based on the percentage of resumes they appeared on. For example, 5.3% of senior compliance analyst resumes contained compliance program as a skill. Continue reading to find out what skills a senior compliance analyst needs to be successful in the workplace.

15 senior compliance analyst skills for your resume and career

1. Compliance Program

A Compliance Program is a collection of rules, policies, and processes which are found within a company, business, organization, or some other form of an institution, all of which are created and followed with the main purpose of compliance with the laws, rules, and regulations of a country or of an industry, or to otherwise uphold some idea or reputation and quality of a company and its work. It is also known as the compliance and ethics program of a company.

Here's how senior compliance analysts use compliance program:
  • Provided ongoing training and conducted assessments of distribution center personnel on receiving requirements and adherence to vendor compliance program standards.
  • Supported external auditors and ethics/compliance programs while delivering resource cost reductions and maximizing efficiency of global compliance activities.

2. Compliance Issues

Compliance issues are where people or businesses breach their legal obligations in a country or region where they operate or live. Some of the compliance issues that businesses face may be in regard to wage and overtime regulations and IRS audits. They may result in legal recourse by stakeholders like employees.

Here's how senior compliance analysts use compliance issues:
  • Analyzed audit results to identify common violations and developed region specific training and communication to address compliance issues.
  • Work closely with internal departments to ensure compliance issues are addressed prior to program development and/or implementation.

3. Regulatory Compliance

Here's how senior compliance analysts use regulatory compliance:
  • Participated in internal and external working groups ensuring Global Card Operations regulatory compliance and operational risk issues were effectively identified.
  • Develop and present annual regulatory compliance training sessions for bank, broker-dealer, investment advisory and insurance agency employees.

4. Internal Controls

Here's how senior compliance analysts use internal controls:
  • Provided consultation to unit administrators in the development of effective business processes/internal controls to ensure and/or improve compliance.
  • Implemented appropriate internal controls to monitor day-to-day compliance with all applicable laws, regulations and regulatory guidance.

5. Internal Audit

Internal audit is an evaluation process that ensures that a company's risk management, governing body, and other internal processes are running effectively. People who perform internal audits must be highly qualified, have experience, and knowledge to work accordingly with the international standards and the code of ethics.

Here's how senior compliance analysts use internal audit:
  • Performed internal audit and prepared special analysis reports in preparation for corrective action and federal and state or local audits.
  • Conduct internal audits to evaluate internal policies and procedures for compliance with state and federal regulatory requirements.

6. Risk Assessments

The process of analyzing and identifying the acts or events that have the potential to negatively affect an individual, asset, or business is called risk assessment. Risk assessments are important because they form an integral part of an organization as well as occupational safety plans

Here's how senior compliance analysts use risk assessments:
  • Conduct monthly risk assessments of agent and correspondent entity activity to evaluate possible risk based on risk factors and transaction activity.
  • Perform ongoing risk assessments and audits; prepare complete and accurate documentation of compliance monitoring and report findings to executive management.

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7. AML

AML refers to the rules and systems set up by governments, financial institutions, or organizations to prevent fraudulent economic activities.

Here's how senior compliance analysts use aml:
  • Build relationships with AML Investigations units, effectively communicating and transferring information for case investigations.
  • Conducted AML investigations for both consumer and business accounts to detect money laundering activity.

8. Ethics

Ethics is a branch of knowledge that involves recommending, defending, and systemizing aspects of right and wrong behavior.

Here's how senior compliance analysts use ethics:
  • Demonstrated ability to work independently, interact with different levels of management and to operate with excellent corporate work ethics.
  • Monitored training requirement status for ethics and compliance related courses.

9. SOX

Here's how senior compliance analysts use sox:
  • Coordinated and delivered security testing for the entire bank while maintaining compliance for GLBA, SOX, FFEIC, and PCI.
  • Collaborate with the process owners to update process narratives, understand key controls, related risks, and general SOX Compliance.

10. Regulatory Changes

Here's how senior compliance analysts use regulatory changes:
  • Monitored regulatory, state and federal government-sponsored enterprises, and private investors for guidelines and regulatory changes for compliance.
  • Track regulatory changes and provide insight for implementation of new actions required within the business technology framework.

11. Compliance Policies

Compliance policies refer to the set of standard procedures and policies that staff or clients must adhere to within the company premises or services.

Here's how senior compliance analysts use compliance policies:
  • Monitored mutual fund trade activity for adherence to compliance policies in partnership with Investment Management portfolio managers and traders.
  • Maintain a strong working knowledge of and keep current with applicable rules and regulations and Compliance policies and procedures.

12. Audit Findings

Here's how senior compliance analysts use audit findings:
  • Created oral presentations of audit findings, documented findings/violations, and communicated analysis to customer s senior stakeholders.
  • Present audit findings and internal control deficiencies to management.

13. Regulatory Agencies

A regulatory agency is a Public Benefit Corporation (PBC) that is responsible for supervising certain human activities and controlling them to some extent. They are set up in some areas such as hospitals, law firms, and governmental setup to regulate safety standards. They prevent undue and unjust abuse of power in these setups.

Here's how senior compliance analysts use regulatory agencies:
  • Leverage resources in the engineering and legal departments to ensure accuracy of data responses submitted to state and federal regulatory agencies.
  • Assisted with coordination of document and information production for audits performed by regulatory agencies.

14. Compliance Reviews

Here's how senior compliance analysts use compliance reviews:
  • Manage OFCCP audits/compliance reviews with Compliance Manager to ensure timely delivery of proper documentation to address issues and/or concerns.
  • Manage compliance reviews/testing and provide monthly/quarterly reporting to Senior Management.

15. Process Improvement

Here's how senior compliance analysts use process improvement:
  • Evaluated monthly testing results and provided recommendations for process improvement in collaboration with all levels of business unit management and investors.
  • Implemented numerous process improvement initiatives including the use of standardized work paper templates and detailed assessment procedures.
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David Feldman Ph.D.

Professor of Urban Planning and Public Policy and Political Science, Director, Water UCI, Director, MPP Program, University of California, Irvine

Succinct writing, critical thinking, strong quantitative analytical skills.
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List of senior compliance analyst skills to add to your resume

Senior compliance analyst skills

The most important skills for a senior compliance analyst resume and required skills for a senior compliance analyst to have include:

  • Compliance Program
  • Compliance Issues
  • Regulatory Compliance
  • Internal Controls
  • Internal Audit
  • Risk Assessments
  • AML
  • Ethics
  • SOX
  • Regulatory Changes
  • Compliance Policies
  • Audit Findings
  • Regulatory Agencies
  • Compliance Reviews
  • Process Improvement
  • HIPAA
  • Securities
  • Corrective Action
  • Due Diligence
  • BSA
  • Sarbanes-Oxley
  • Federal Laws
  • Medicare
  • Management System
  • OFAC
  • State Regulations
  • Regulatory Issues
  • FINRA
  • CMS
  • Financial Statements
  • Compliance Training
  • Anti-Money Laundering
  • External Auditors
  • SharePoint
  • Regulatory Risk
  • Export Compliance
  • Subject Matter Expertise
  • Recordkeeping
  • Training Materials
  • Mitigate Risk
  • SQL
  • SME
  • Secrecy
  • Bank Secrecy Act
  • Regulatory Inquiries
  • State Laws
  • Medicaid
  • Federal Regulations

Updated January 8, 2025

Zippia Research Team
Zippia Team

Editorial Staff

The Zippia Research Team has spent countless hours reviewing resumes, job postings, and government data to determine what goes into getting a job in each phase of life. Professional writers and data scientists comprise the Zippia Research Team.

Updated January 8, 2025

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