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Banking Compliance Analyst Jobs (NOW HIRING)

Finalis

Investment Banking Compliance Analyst

$65K - $90K/yr

The Investment Banking Compliance Analyst supports Finalis's investment banking and private markets business by providing compliance guidance throughout the transaction lifecycle. This role works ...

New

Finalis

$100 - $125/hr

The Investment Banking Compliance Analyst supports Finalis's investment banking and private markets business by providing compliance guidance throughout the transaction lifecycle. This role works ...

Inceed

Compliance Analyst

Tulsa, OK · On-site

$65K - $75K/yr

Compliance Analyst Compensation: $65,000 - $75,000 annually, depending on experience Location ... Background in banking compliance * Ability to develop bank-specific processes Perks & Benefits:

CommerceWest Bank

Compliance Analyst

Irvine, CA · On-site

$50K - $65K/yr

The Compliance Analyst's role is to support the BSA & Compliance Officer and assist in the ... Evaluate the bank's compliance with applicable laws, regulations, and internal policies through ...

CommerceWest Bank

Compliance Analyst

Irvine, CA

The Compliance Analyst's role is to support the BSA & Compliance Officer and assist in the ... Evaluate the bank's compliance with applicable laws, regulations, and internal policies through ...

CommerceWest Bank

Compliance Analyst

Irvine, CA · On-site

$50K - $65K/yr

The Compliance Analyst's role is to support the BSA & Compliance Officer and assist in the ... Evaluate the bank's compliance with applicable laws, regulations, and internal policies through ...

Dingoblu Financial Inc

Compliance Analyst

Charlotte, NC · On-site

$60 - $80/hr

Compliance Analyst Key Focus: Regulatory Compliance | Complaint Management | Training Location ... Charlotte, NC Experience Required: 3-5+ Years in Bank Compliance or Risk Classification: Full-Time, ...

Dingoblu Financial Inc

Compliance Analyst

Charlotte, NC · On-site

Compliance Analyst Regulatory Compliance | Complaint Management | Training Location Charlotte, NC ... Monitor and interpret federal and state banking regulations (e.g., BSA/AML, TILA, RESPA, ECOA, FCRA ...

Vision Bank

Compliance Analyst

Ada, OK · On-site

Compliance Analyst Job Summary: The Compliance Analyst works under the direction of the BSA Officer ... Two plus years banking experience preferred.

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How much do banking compliance analyst jobs pay per hour?

As of Sep 9, 2026, the average hourly pay for banking compliance analyst in the United States is $35.03, according to ZipRecruiter salary data. Most workers in this role earn between $27.64 and $39.42 per hour, depending on experience, location, and employer.

What does a banking compliance analyst do?

A Banking Compliance Analyst is responsible for ensuring that a bank or financial institution adheres to all applicable laws, regulations, and internal policies. Their duties include reviewing transactions, conducting risk assessments, monitoring regulatory changes, and assisting with internal audits. They also help develop and implement compliance programs, provide training to staff, and report any potential compliance issues to management. By doing so, they help prevent legal violations and protect the integrity of the financial institution.

What are the key skills and qualifications needed to thrive as a banking compliance analyst, and why are they important?

To thrive as a Banking Compliance Analyst, you need a solid understanding of financial regulations, risk management, and analytical skills, typically supported by a degree in finance, law, or a related field. Familiarity with compliance management systems, anti-money laundering (AML) software, and certifications such as CAMS or CRCM is often required. Attention to detail, strong ethical judgment, and effective communication are crucial soft skills for excelling in this role. These skills and qualifications ensure accurate regulatory adherence, minimize risk, and maintain the institution’s reputation and legal standing.

What are some common challenges faced by banking compliance analysts, and how can they be managed effectively?

Banking Compliance Analysts often face challenges such as keeping up with rapidly changing regulations, interpreting complex laws, and ensuring consistent compliance across departments. Effective management involves ongoing professional development, strong organizational skills, and active collaboration with legal and business teams. Building open lines of communication and leveraging compliance management software can also help analysts stay ahead of regulatory changes and maintain a robust compliance framework.

What is the difference between Banking Compliance Analyst vs Banking Risk Analyst?

AspectBanking Compliance AnalystBanking Risk Analyst
CertificationsCAMs, CRCM, or similar compliance certificationsFRM, CRM, or similar risk management certifications
Work EnvironmentRegulatory departments, compliance teamsRisk management, internal audit teams
Industry UsageFinancial institutions, banks, regulatory agenciesFinancial institutions, banks, risk departments
Primary FocusEnsuring adherence to laws and regulationsIdentifying and mitigating financial risks

While both roles operate within banking institutions and require understanding of financial regulations, the Banking Compliance Analyst primarily focuses on ensuring compliance with laws and regulations, whereas the Banking Risk Analyst concentrates on identifying and managing financial risks. Both roles are essential for maintaining a secure and compliant banking environment but differ in their core responsibilities and certifications.

Is a banking compliance analyst a stressful job?

A banking compliance analyst's job can be stressful due to the need to ensure strict adherence to regulations, manage tight deadlines, and handle complex audits. The role often requires attention to detail, strong analytical skills, and the ability to stay updated on changing laws, which can contribute to work pressure, especially during regulatory reviews or audits.

What does a banking compliance analyst do for a bank?

A banking compliance analyst monitors and ensures that a bank adheres to financial regulations, internal policies, and industry standards. They review transactions, conduct audits, and implement compliance programs using tools like compliance software, often requiring knowledge of laws such as AML and KYC. Their work helps prevent legal issues and maintains the bank's operational integrity.
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Banking Compliance Analyst jobs near you
Infographic showing various Banking Compliance Analyst job openings in the United States as of September 2026, with employment types broken down into 100% Full Time. Highlights an 100% In-person job distribution, with an average salary of $72,853 per year, or $35 per hour.

Investment Banking Compliance Analyst

Remote

Finalis
Investment Banking and Securities Dealing • 51 - 200 employees
Learn more about Finalisexternal

$65K - $90K/yr

Full-time

PTO

Posted 2 days ago

New

Job description

What does Finalis do?
Finalis is the leading platform enabling independent and boutique investment banking firms to operate legally and compliantly. The firm provides regulatory affiliation and compliance infrastructure supporting private market transactions, including M&A, capital raising, private placements, secondary transactions, and alternative investments.
What about your team?
The Investment Banking Compliance Analyst supports Finalis's investment banking and private markets business by providing compliance guidance throughout the transaction lifecycle. This role works directly with investment bankers and registered representatives on private placements, M&A engagements, and other private market transactions, from initial engagement and due diligence through closing.
We are looking for someone who is intellectually curious and enjoys understanding how transactions work. The strongest candidate will be comfortable analyzing complex or unfamiliar structures, asking thoughtful questions, and becoming a trusted compliance resource to our bankers.
What will you be doing?
Transaction & Regulatory Review
  • Review proposed investment banking engagements, engagement letters, compensation arrangements, and transaction structures for compliance with applicable securities laws, FINRA requirements, and Finalis policies.
  • Review private securities offerings and applicable Securities Act exemptions, with particular emphasis on Regulation D and Rules 506(b) and 506(c).
  • Analyze M&A, secondary, and other private market transactions for applicable securities-law and broker-dealer considerations.
  • Review M&A transactions under the federal M&A broker exemption framework and identify circumstances requiring registered broker-dealer involvement.
  • Support applicable FINRA private placement requirements, including Rules 5122 and 5123.
Due Diligence & Transaction Execution
  • Conduct risk-based due diligence on issuers, sponsors, control persons, and other relevant transaction parties and evaluate identified red flags.
  • Review offering materials, organizational documents, financial information, transaction agreements, and other relevant diligence materials.
  • Work with bankers to resolve diligence and compliance questions and appropriately document conclusions, conditions, and approvals.
  • Monitor transactions for material changes and review transaction and closing documentation for consistency with the approved structure.
  • Support transactions through closing, including satisfaction of applicable compliance conditions, books and records, and required regulatory filings.
Banker & Business Partnership
  • Serve as a day-to-day compliance resource for investment bankers and registered representatives.
  • Participate in transaction calls and work directly with bankers to understand proposed structures and resolve regulatory and compliance questions.
  • Ask thoughtful questions to understand the economic substance of transactions rather than relying solely on labels or form.
  • Translate regulatory requirements into clear, practical guidance while maintaining sound compliance judgment.
  • Stay current on regulatory developments affecting private placements, M&A, and private market transactions.

Who are we looking for?
  • Bachelor's degree or equivalent professional experience.
  • 3+ years of relevant experience in broker-dealer compliance, investment banking, securities law, private markets, or a related field.
  • Working knowledge of private placements and exemptions from Securities Act registration, particularly Regulation D.
  • Familiarity with FINRA requirements applicable to private placements and investment banking activities.
  • Ability to understand complex transaction structures and legal, financial, and offering documents.
  • Strong analytical skills, sound judgment, and intellectual curiosity.
  • Excellent written and verbal communication skills and comfort working directly with investment bankers and other sophisticated stakeholders.
  • Ability to manage multiple active transactions and competing deadlines in a fast-paced environment.
Bonus Track!
  • You currently hold, or have previously held, one or more relevant FINRA registrations, including the Series 7, 24, 79, and/or 82.
  • You have experience reviewing Regulation D offerings and FINRA Rules 5122 and 5123.
  • You have experience working on M&A transactions and analyzing transactions under the federal M&A broker exemption framework.
  • You have experience reviewing investment banking engagement letters, offering documents, purchase agreements, subscription documents, and closing materials.
  • You have experience conducting issuer or transaction-level due diligence and evaluating regulatory or compliance red flags.
  • You have familiarity with private funds, SPVs, secondary transactions, or other complex private market structures.
  • You have experience at an investment bank, broker-dealer, securities law firm, FINRA, the SEC, or another financial-services regulatory organization.

What do we offer?
  • 100% Remote work
  • Generous Paid Time Off
  • Benefits Package
  • Paid Family Leave
  • Diverse and inclusive culture
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About Finalis

Sourced by ZipRecruiter

Industry

Investment banking and securities dealing

Company size

51 - 200 Employees

Headquarters location

San Francisco, CA, US

Year founded

2020

Social media

Twitter

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