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Responsibilities include translating new obligations into practical controls, tracking remediation to closure, managing regulatory inventories and change logs, supporting investigations and issue management, and preparing evidence for audits and regulatory examinations. 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The role keeps the organization aligned with the laws, rules, and standards that govern its business.\u003Cbr>The Compliance Analyst partners with legal, risk, operations, and business teams to translate regulatory requirements into practical controls, investigate potential issues, and support examinations and audits. As regulators address AI and automated decisions, the analyst helps track and apply those emerging obligations.\u003Cbr>This role suits a detail-driven early to mid-career professional who reads regulation carefully, documents thoroughly, and communicates clearly across the business.\u003Cbr>KEY RESPONSIBILITIES |\n| --- |\n| REGULATORY MONITORING\u003Cbr>Track applicable laws, rules, and regulatory changes.\u003Cbr>Assess the impact of new requirements on the business.\u003Cbr>Summarize obligations for stakeholders in plain language.\u003Cbr>Maintain a regulatory inventory and change log.\u003Cbr>COMPLIANCE MONITORING AND TESTING\u003Cbr>Test whether controls and processes meet regulatory and policy requirements: Perform compliance testing and transaction reviews on a set cadence.\u003Cbr>Document findings, root causes, and corrective actions.\u003Cbr>Track remediation with process owners to closure.\u003Cbr>Maintain testing workpapers and monitoring records.\u003Cbr>POLICY AND PROCEDURE SUPPORT\u003Cbr>Draft and maintain policies, procedures, and standards.\u003Cbr>Track policy review cycles and approvals.\u003Cbr>Support employee questions on policy and requirements.\u003Cbr>Help align policies with AI and data-use obligations where relevant.\u003Cbr>INVESTIGATIONS AND ISSUE MANAGEMENT\u003Cbr>Support intake and investigation of potential compliance issues, document findings, and track corrective actions and reporting obligations to resolution.\u003Cbr>TRAINING AND AWARENESS\u003Cbr>Help develop and track compliance training, maintain completion records, and support awareness on high-risk topics across the business.\u003Cbr>REPORTING AND EXAMS\u003Cbr>Prepare compliance metrics and reports for leadership, and support internal audits, external examinations, and regulatory requests with evidence and documentation.\u003Cbr>REQUIRED QUALIFICATIONS |\n\n Bachelor's degree in Business, Finance, Law, Accounting, or a related field, or equivalent experience.  \n 2 to 4+ years of experience in compliance, audit, risk, or a regulatory function.  \n Working knowledge of applicable regulations for the organization's industry.  \n Experience with compliance monitoring, testing, or policy management.  \n Strong analytical, documentation, and written communication skills.  \n Ability to read and interpret regulatory text accurately.  \nPREFERRED CERTIFICATIONS  \n\n| One or more of: CRCM, CCEP, CAMS, CISA, CGRC, depending on industry and program focus.\u003Cbr>TECHNICAL KNOWLEDGE |\n| --- |\n| Regulatory compliance, compliance monitoring and testing, policy and procedure management, issue and investigation management, regulatory change tracking, controls documentation, exam and audit support, and awareness of AI and aut","cbCaitfRL5ebOkp0","https://ap.wps.com/l/cbCaitfRL5ebOkp0","pdf",117280,"English","# Key responsibilities\n## Regulatory monitoring\n## Compliance monitoring and testing\n## Policy and procedure support\n## Investigations and issue management\n## Training and awareness\n## Reporting and exams\n# Required qualifications\n# Preferred certifications\n# Technical knowledge","[{\"question\":\"What does a Compliance Analyst do in this role?\",\"answer\":\"The analyst monitors regulatory obligations, tests compliance controls, maintains policies and procedures, and prepares reporting for leadership and regulators.\"},{\"question\":\"Which activities are included in compliance monitoring and testing?\",\"answer\":\"The role performs compliance testing and transaction reviews on a set cadence, documents findings and root causes, tracks remediation to closure, and maintains monitoring records.\"},{\"question\":\"What experience and qualifications are required?\",\"answer\":\"The role requires a bachelor’s degree (or equivalent experience) plus 2 to 4+ years in compliance, audit, risk, or regulatory functions, along with strong analytical and written communication skills.\"}]","Compliance Analyst - Job Description - Compliance Analyst | PDF",1789340462]