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Compliance Analyst Jobs (NOW HIRING)

Advisor Group

Compliance Analyst

Scottsdale, AZ · On-site

$55K - $63K/yr

Current Employees and Contractors Apply Here Osaic Careers Compliance Risk Opportunity in Financial Services Compliance Analyst Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA ...

Osaic

Compliance Analyst

Saint Petersburg, FL · Hybrid

$55K - $63K/yr

Current Employees and Contractors Apply HereOsaic Careers Compliance Risk Opportunity in Financial Services Compliance Analyst Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA ...

Futurex

Compliance Analyst

Bulverde, TX · On-site

The Compliance Analyst is a critical position for ensuring that the organization adheres to all relevant regulatory requirements and industry standards. Compliance Analyst is responsible for ...

Futurex

Compliance Analyst

Bulverde, TX · On-site

The Compliance Analyst is a critical position for ensuring that the organization adheres to all relevant regulatory requirements and industry standards. Compliance Analyst is responsible for ...

Osaic

Compliance Analyst

La Vista, NE · Hybrid

$55K - $63K/yr

Current Employees and Contractors Apply HereOsaic Careers Compliance Risk Opportunity in Financial Services Compliance Analyst Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA ...

Osaic

Compliance Analyst

Oakdale, MN · Hybrid

$55K - $63K/yr

Compliance Risk Opportunity in Financial Services Compliance Analyst Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339 La Vista: 12325 Port Grace Blvd, La Vista, NE 68128 ...

Osaic

Compliance Analyst

La Vista, NE · Hybrid

$55K - $63K/yr

Compliance Risk Opportunity in Financial Services Compliance Analyst Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339 La Vista: 12325 Port Grace Blvd, La Vista, NE 68128 ...

Osaic

Compliance Analyst

Atlanta, GA · Hybrid

$55K - $63K/yr

Compliance Risk Opportunity in Financial Services Compliance Analyst Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339 La Vista: 12325 Port Grace Blvd, La Vista, NE 68128 ...

Osaic

Compliance Analyst

Oakdale, MN · Hybrid

$55K - $63K/yr

Current Employees and Contractors Apply HereOsaic Careers Compliance Risk Opportunity in Financial Services Compliance Analyst Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA ...

Futurex

Compliance Analyst

Bulverde, TX

The Compliance Analyst is a critical position for ensuring that the organization adheres to all relevant regulatory requirements and industry standards. Compliance Analyst is responsible for ...

Osaic

Compliance Analyst

Scottsdale, AZ · Hybrid

$55K - $63K/yr

Current Employees and Contractors Apply HereOsaic Careers Compliance Risk Opportunity in Financial Services Compliance Analyst Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA ...

Osaic

Compliance Analyst

Saint Petersburg, FL · Hybrid

$55K - $63K/yr

Compliance Risk Opportunity in Financial Services Compliance Analyst Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339 La Vista: 12325 Port Grace Blvd, La Vista, NE 68128 ...

Hanes Companies

Compliance Analyst

Conover, NC · On-site

Compliance Analyst Hanes Companies is seeking a detail-oriented and analytical Compliance Analyst to support internal audit processes, strengthen internal controls, and ensure financial compliance ...

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Compliance Analyst information

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How much do compliance analyst jobs pay per hour?

As of Jun 9, 2026, the average hourly pay for 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 are the key skills and qualifications needed to thrive as a Compliance Analyst, and why are they important?

To thrive as a Compliance Analyst, you need a strong understanding of regulatory frameworks, risk assessment, and analytical skills, usually complemented by a bachelor’s degree in finance, business, or a related field. Familiarity with compliance management software, regulatory reporting systems, and certifications like Certified Regulatory Compliance Manager (CRCM) are often required. Attention to detail, integrity, and effective communication are critical soft skills for ensuring organizational adherence to laws and policies. These skills and qualities are essential for mitigating risk, maintaining legal compliance, and protecting the organization’s reputation.

How does a Compliance Analyst typically collaborate with other departments within an organization?

Compliance Analysts regularly interact with teams such as legal, risk management, operations, and internal audit to ensure that company processes align with regulatory requirements. They may lead or participate in cross-functional meetings to discuss policy updates, review potential compliance risks, and help design training programs. This collaborative environment helps Compliance Analysts identify potential issues early and develop practical solutions that fit the organization's workflow, making strong communication and teamwork essential skills for success.

What Is a Compliance Analyst?

A compliance analyst helps ensure that an organization’s products or processes meet compliance specifications. Analysts may work under a compliance officer or chief compliance officer. Their responsibilities range from tasks such as evaluating work safety policies to reviewing data security and conducting compliance training. Job duties depend on the sector and employer. For example, in the financial sector, analysts might look at accounting practices and audit expenses and income figures. In health care, they may examine HIPAA compliance. Computer skills and knowledge of applicable regulations are helpful in this field. You can be a compliance analyst in almost any industry, with many jobs in health care, government, finance, and insurance.

What is a Compliance Analyst?

A Compliance Analyst is a professional responsible for ensuring that an organization adheres to external regulatory requirements and internal policies. They monitor business processes, evaluate compliance risks, and implement procedures to prevent violations of laws and regulations. Compliance Analysts often conduct audits, prepare reports, and provide training to staff about compliance matters. Their work helps organizations avoid legal penalties and maintain ethical standards.

What is the difference between Compliance Analyst vs Risk Analyst?

AspectCompliance AnalystRisk Analyst
Required CredentialsBachelor's degree, certifications like CFE or CAMS often preferredBachelor's degree, certifications like FRM or CRM often preferred
Work EnvironmentFinancial institutions, healthcare, corporate compliance departmentsFinancial services, insurance, corporate risk management teams
Employer & Industry UsageRegulatory agencies, banks, healthcare providersFinancial firms, insurance companies, consulting firms

Compliance Analysts focus on ensuring organizations adhere to laws and regulations, while Risk Analysts assess potential risks to the organization. Both roles require similar credentials and often work in related industries, but their core responsibilities differ in scope and focus.

More about Compliance Analyst jobs
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What are popular job titles related to Compliance Analyst jobs? For Compliance Analyst jobs, the most frequently searched job titles are:
Compliance Analyst jobs near you
Infographic showing various Compliance Analyst job openings in the United States as of June 2026, with employment types broken down into 99% Full Time, and 1% Part Time. Highlights an 81% Physical, 8% Hybrid, and 11% Remote job distribution, with an average salary of $72,853 per year, or $35 per hour.
Compliance Analyst

Compliance Analyst

Advisor Group

Scottsdale, AZ • On-site

$55K - $63K/yr

Full-time

Medical, Dental, Vision, Retirement

Posted 5 days ago

Job description

Current Employees and Contractors Apply Here
Osaic Careers
Compliance Risk Opportunity in Financial Services
Compliance Analyst
Location(s):
Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
La Vista: 12325 Port Grace Blvd, La Vista, NE 68128
Oakdale: 7755 3rd St. N, Oakdale, MN 55128
Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
Osaic is not considering remote candidates at this time.
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.
Role Type: Full-time
Salary: $55,000 - $63,000 per year + annual bonus
Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.
Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits.
Summary:
The Compliance Analyst plays a critical role in safeguarding the integrity of Osaic's financial services operations by monitoring advisor activity and identifying potential compliance risks. This position is responsible for conducting detailed reviews of financial professionals' books of business, analyzing trade data, and detecting patterns that may indicate regulatory or policy concerns. The analyst will collaborate closely with Internal Supervision, Compliance, and Senior Management to deliver actionable insights and ensure adherence to industry standards and firm policies. This role requires strong analytical skills, attention to detail, and the ability to interpret complex regulatory requirements. The Compliance Analyst will also contribute to the development of surveillance procedures, lead special projects, and serve as a subject matter expert for system testing and quality assurance initiatives.
Education Requirements:
  • Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Responsibilities:
  • Reviews financial professionals' book of business for common risks and regulatory issues.
  • Creates representative summaries detailing negative trends including high rates of variable annuity replacements, mutual fund B-share and C-share concerns, high rates of mutual fund switching, alternative investment liquidity issues, etc.
  • Delivers trend summaries to Internal Supervision, Compliance and Senior Management teams for review and follow up.
  • Assist Surveillance manager in the creation and editing of Surveillance procedures
  • Lead additional projects and regulatory requests and necessary.
  • Conducts Quality Assurance of analyst deliverables for financial professional profiles and Activity Based Reviews.
  • SME for all Surveillance report IT/QA/UAT testing
  • Train new/current Compliance Analysts

Basic Requirements:
  • Three to five years of experience in the financial securities industry is required.
  • Must be proficient with MS Office and Word. Proficiency with MS Excel is a must.
  • Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds is required. (Additional knowledge in variable annuities and mutual funds strongly preferred.)
  • Ability to analyze large amounts of trade data and to think through complex Compliance issues.
  • Must be detail-oriented, investigative and have the ability to handle a high volume of work independently.
  • Ability to interpret Compliance Policies and Procedures, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation
  • Effective communication skills, both written and verbal.
  • FINRA Series 7 required.

Preferred Requirements:
  • Insurance license preferred
  • 2+ years' regulatory experience is preferred.
  • Experience at an independent broker-dealer is preferred
  • FINRA Series 24 preferred.

Current Employees and Contractors Apply Here
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About Advisor Group

Sourced by ZipRecruiter

Be a part of the team behind our success! At Advisor Group, we support financial professionals nationwide, the people who help everyday Americans achieve their dreams. We're a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Industry

Finance and insurance

Company size

1,001 - 5,000 Employees

Headquarters location

Phoenix, AZ, US

Year founded

1988

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