CrawlJobs Logo
Robert Half Logo Robert Half · IT - Administration

Senior Compliance Analyst

United States, Hartford · Job Posted June 09, 2026
Apply Position
Job Link Share

Job Description

We are looking for a Sr. Compliance Analyst to support record governance and compliance activities. This role focuses on evaluating how physical and archived records are maintained, defining retention needs across business processes, and helping teams apply consistent documentation standards. The ideal candidate will work closely with project managers, technical partners, and operational stakeholders to strengthen recordkeeping practices, assess compliance status, and promote policy awareness through clear communication and training.

Job Responsibility

  • Review hard-copy, archived, and operational records to identify retention obligations and documentation gaps
  • Partner with business teams to map recordkeeping needs for processes such as HR onboarding and define what information must be preserved
  • Assess multiple systems of record to determine whether current practices align with applicable compliance and retention requirements
  • Gather and organize compliance-related data for audits, reporting, and policy validation activities
  • Collaborate with project managers and digital or technical teams to develop effective approaches for storing and retaining records
  • Support initiatives to update retention policies, procedures, and related documentation across departments
  • Communicate policy updates to impacted groups and help deliver training that improves understanding of record retention expectations
  • Document findings, requirements, and recommendations to support ongoing compliance oversight and process improvement

Requirements

  • Experience managing record retention programs involving physical files, archived materials, and system-based records
  • Background in compliance auditing, regulatory reviews, or internal control assessments
  • Ability to create clear compliance documentation, retention guidelines, and process requirements
  • Strong understanding of records management principles and policy interpretation across different business functions
  • Experience working cross-functionally with project managers, technical teams, and operational stakeholders
  • Strong analytical skills with the ability to evaluate current-state compliance and identify remediation needs
  • Effective written and verbal communication skills, including the ability to explain policy changes and support training efforts

What we offer

  • medical
  • vision
  • dental
  • life and disability insurance
  • 401(k) plan
Robert Half - All Job Offers

Looking for more opportunities?

Search for other job offers that match your skills and interests.

Suggested Tags: Frontend Developer Secretary Talent Manager Salesforce Administrator Data Analyst
Similar Jobs for

Senior Compliance Analyst

8 matching positions

Senior Compliance Analyst

To manage the regulatory risk associated with the business through the managemen...
Location
Location
United Kingdom , London
Salary
Salary:
Not provided
emerald-group.com Logo
The Emerald Group Ltd, Search and Selection
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Education to degree level or equivalent
  • Appropriate industry professional qualification or legal qualification would be desirable
  • Relevant experience of working within insurance sector in a legal/compliance role with a thorough understanding of FCA and PRA legal and international insurance compliance issues including financial crime and licensing
  • Able to build effective working relationships at all levels both internally and with external regulators and third parties
Job Responsibility
Job Responsibility
  • Provide up-to-date guidance to underwriters to ensure business is written in accordance with Lloyd’s domestic and international licensing arrangements
  • Provide up-to-date guidance to underwriters and claims staff to ensure adherence to applicable financial and trade sanctions measures imposed by UN resolutions and EU, UK and US sanctions legislation
  • Decide on a resolution of sanctions related enquiries as presented by underwriters and claims staff in accordance with the Company’s Financial Crime Policy and Procedures and under the oversight of the Head of Compliance
  • Responsible for collating and preparing the monthly Compliance Reports for, and be a member of, the Company Underwriting Governance Committee
  • Fulltime
Read More
Arrow Right

Senior Compliance Analyst

We are looking for a Senior Compliance Analyst for Enel Trading North America LL...
Location
Location
United States , Houston
Salary
Salary:
86600.00 - 129800.00 USD / Year
enel.com Logo
Enel
Expiration Date
July 30, 2026
Flip Icon
Requirements
Requirements
  • Bachelor’s Degree in any field
  • A minimum of 3 years’ experience with a focus of ISO rules for power markets and renewable generation resources
  • Strong analytical skills, with the ability to review large data sets and compile information to demonstrate compliance and provide regulatory guidance for trading activities
  • Ability to manage multiple tasks while working in an international, cross-functional team environment
  • Proficient in Microsoft Office Suite
  • Willingness to travel as needed
Job Responsibility
Job Responsibility
  • Ensure compliance with applicable laws and regulations, including CFTC Dodd-Frank, U.S. exchange requirements, FERC Anti-Manipulation rules, and ISO market regulations
  • Track and coordinate market abuse and other regulatory training programs for ETNA staff
  • Prepare and submit timely regulatory filings and internal compliance reports
  • Collaborate with internal teams to promptly address ad hoc compliance requests, inquiries, and data needs
  • Maintain proper recordkeeping for all generation and trading activities
  • Coordinate and ensure adherence to internal compliance policies
  • Assist in updating and enhancing the compliance program to address regulatory or business changes
  • Develop, maintain, and improve automated compliance tools while identifying and implementing process improvements
  • Draft desk procedures and documentation as required
  • Security administrator for all digital certificates for all ECM staff as well as EGP CRM operators
What we offer
What we offer
  • 401k with match fully vested as of day one. Enel-NA matches 100% of the first 4% that you contribute up to set IRS limits
  • Generous PTO that supports work/life balance including: 4 weeks annually of vacation as well as personal days, volunteer days, your birthday off, paid holidays, and sick time
  • Paid leave programs
  • The opportunity to grow and develop your career with the support and mentorship of senior leaders
  • The opportunity to work for one of the world’s most recognizable and respected brands in the energy industry
  • Fulltime
Read More
Arrow Right

Senior Compliance Analyst

Our client, a self‑clearing broker‑dealer operating within a highly regulated fi...
Location
Location
United States , Dallas
Salary
Salary:
30.00 - 40.00 USD / Hour
bhsg.com Logo
Beacon Hill
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 5-7 years of experience in broker‑dealer compliance, regulatory oversight, or supervisory roles
  • Bachelor's degree in Finance, Business Administration, Law, or a related field
  • Strong understanding of SEC, FINRA, and state regulatory requirements governing broker‑dealers
  • Comprehensive knowledge of financial products including equities, mutual funds, bonds, options, and alternative investments
  • Experience working for a broker‑dealer, investment bank, or investment advisory firm
  • Must hold or have previously held at least one of the following licenses: Series 7, Series 24, or Series 53
  • Exceptional attention to detail and accuracy
  • Strong communication, organizational, and problem‑solving skills
  • Ability to manage multiple projects and work independently in a fast‑paced environment
  • Experience with compliance systems such as FIS, LexisNexis, regulatory reporting platforms, or surveillance tools
Job Responsibility
Job Responsibility
  • Conduct reviews of trading activity, customer accounts, and operational processes to ensure compliance with SEC, FINRA, and state regulations
  • Assist with maintaining and updating the firm's compliance policies, procedures, and supervisory controls
  • Support preparation and submission of regulatory filings, including Form U4, Form ADV, and other required reports
  • Provide training and guidance to internal teams on compliance policies and industry best practices
  • Assist with pre‑ and post‑hire compliance functions, including background checks, outside business activity reviews, personal trading approvals, and account statement/trade confirmation reviews
  • Maintain accurate and organized compliance documentation across multiple areas
  • Monitor regulatory changes, industry trends, and rule updates to ensure proactive compliance
  • Coordinate with internal teams to resolve compliance‑related issues and ensure proper documentation and follow‑up
  • Fulltime
Read More
Arrow Right

Senior Compliance Analyst

Our client, a self‑clearing broker‑dealer operating within a highly regulated fi...
Location
Location
United States , Dallas
Salary
Salary:
30.00 - 40.00 USD / Hour
bhsg.com Logo
Beacon Hill
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 5-7 years of experience in broker‑dealer compliance, regulatory oversight, or supervisory roles
  • Bachelor's degree in Finance, Business Administration, Law, or a related field
  • Strong understanding of SEC, FINRA, and state regulatory requirements governing broker‑dealers
  • Comprehensive knowledge of financial products including equities, mutual funds, bonds, options, and alternative investments
  • Experience working for a broker‑dealer, investment bank, or investment advisory firm
  • Must hold or have previously held at least one of the following licenses: Series 7, Series 24, or Series 53
  • Exceptional attention to detail and accuracy
  • Strong communication, organizational, and problem‑solving skills
  • Ability to manage multiple projects and work independently in a fast‑paced environment
  • Experience with compliance systems such as FIS, LexisNexis, regulatory reporting platforms, or surveillance tools
Job Responsibility
Job Responsibility
  • Conduct reviews of trading activity, customer accounts, and operational processes to ensure compliance with SEC, FINRA, and state regulations
  • Assist with maintaining and updating the firm's compliance policies, procedures, and supervisory controls
  • Support preparation and submission of regulatory filings, including Form U4, Form ADV, and other required reports
  • Provide training and guidance to internal teams on compliance policies and industry best practices
  • Assist with pre‑ and post‑hire compliance functions, including background checks, outside business activity reviews, personal trading approvals, and account statement/trade confirmation reviews
  • Maintain accurate and organized compliance documentation across multiple areas
  • Monitor regulatory changes, industry trends, and rule updates to ensure proactive compliance
  • Coordinate with internal teams to resolve compliance‑related issues and ensure proper documentation and follow‑up
  • Fulltime
Read More
Arrow Right

InfoSec Compliance Senior Analyst / Analyst

Assist in achieving adequate information security control levels across the bank...
Location
Location
Salary
Salary:
Not provided
ethicshr.com Logo
Ethics HR
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Bachelor's Degree in Computer Science or Electronics & Communication Engineering or a related field from a reputable university
  • Minimum 4 years of technical & functional experience in Information Security field for the Senior Analyst
  • Minimum 2 years of technical & functional experience in Information Security field for the Analyst
  • Analytical, self-motivated, cooperative & proactive
  • Excellent interpersonal, leadership and directing skills
  • Excellent communication & computer skills
  • Strong understanding of banking operations
  • Analytical mind-set with ability to grasp new concepts and diverse aspects of bank and risk operations
  • Fluency in Arabic and English written/spoken
Job Responsibility
Job Responsibility
  • Assist in achieving adequate information security control levels across the bank's information assets
  • Ensure clear understanding to information security controls necessary to remediate identified risks and follow up remediation with the concerned business lines
  • Assist in implementing PCI-DSS controls allowing for annual re-certification by coordinating with IT and the concerned Business lines
  • Follow up on all PCI-DSS activities to be delivered on time & reviewed by InfoSec Compliance Team Leader and validated by InfoSec Compliance Manager/Associate before delivering to the QSA
  • Ensure clear understanding for information security controls necessary to fulfil compliance and regulatory requirements (Swift, CBE, PCI-DSS, etc.) to ensure an acceptable level of security maturity across the bank
  • Follow up on all information security policies and security controls related to different standards are properly implemented before reviewing by InfoSec Compliance Team Leader & validating by InfoSec Compliance Manager/Associate
  • Follow up on the effectiveness of applied security controls and share knowledge with Information Security Governance Team of future suggested enhancements and optimization
  • Coordinate with Information Security Team in raising non-compliance and risk of lack of security controls
  • Follow up on breaches SLA’s and non-compliances & notify InfoSec Compliance Team Leader to be reported to InfoSec Compliance Manager/Associate & Cyber Security Team to consider in the watch list
  • Attends project design work shops and ensure that the security architecture standards are followed and considered
Read More
Arrow Right

Senior Compliance Analyst - Card Schemes

Our fast-paced Compliance team is looking for a Senior Compliance Officer for ou...
Location
Location
Brazil , Sao Paulo
Salary
Salary:
Not provided
adyen.com Logo
Adyen
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • At least 5 years of experience in payments/Credit Card industry and/or second line compliance functions
  • Knowledge of the finance and/or payment industry
  • experience dealing with Card Networks and Scheme Rules
  • Fluent level of Portuguese and English, both written and spoken
  • Understanding of technical bulletins, scheme manuals, and payment message field requirements
  • Available to work 3 days per week in Morumbi/SP
  • Deep knowledge of the Brazilian market and exposure to global business
  • Analytical thinker who can draft and monitor implementation of Policies and Procedures
  • Solid interpersonal skills
  • Comfortable addressing senior management
Job Responsibility
Job Responsibility
  • Proactively identify compliance obligations based on Card Network and Local Payment Methods Rules
  • Translate identified obligations into relevant Policies and Procedures to be communicated and implemented across the global business
  • Represent the team on a variety of work streams and products to establish strategies that align with global objectives and ensure controlled and compliant growth
  • Strengthen knowledge and education management across the global business
  • Participate in Product Risk Assessments and advise other compliance verticals
  • Support and maintain oversight of the first line
  • Handle escalations from global internal and external stakeholders
  • Consider opportunities and risks from a variety of angles to achieve compliant solutions that align with commercial and strategic objectives
  • Advise internal stakeholders and liaise with external stakeholders as well as relevant auditors.
  • Fulltime
Read More
Arrow Right

Senior Analyst - Compliance

The JLL Real Estate Capital, LLC Compliance team serves as the second line of de...
Location
Location
United States , Dallas, TX; McLean, VA; Pittsburgh, PA; Tampa, FL
Salary
Salary:
Not provided
jll.com Logo
JLL
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Undergraduate degree preferred with a minimum of 3-5 years of relevant experience
  • Strong Microsoft Office proficiency
  • Strong oral and written communication skills
  • Strong time management skills and ability to operate under demanding deadlines
  • Ability to recognize, understand and mitigate risk
  • Excellent attention to detail
  • Ability to audit own work
  • Ability to maintain confidentiality
  • Familiarity and knowledge of commercial real estate loan documents
  • Candidates must be authorized to work in the United States without sponsorship
Job Responsibility
Job Responsibility
  • Ensure compliance with all Agency and regulatory requirements
  • Composition of policies and procedures, to include comprehensive annual reviews and updates as needed
  • Oversee JREC's Vendor Management program to include onboarding/offboarding, annual compliance reviews, and system updates and/ or program enhancements
  • Administer departmental mailbox and correspondence to ensure timely response and resolution of compliance inquiries
  • Manage system access administration including employee onboarding and offboarding, user permissions, and periodic auditing of access controls
  • Assist with internal and external audits as needed
  • Assist with regulatory reporting as needed
  • Other duties as deemed necessary
What we offer
What we offer
  • 401(k) plan with matching company contributions
  • Comprehensive Medical, Dental & Vision Care
  • Paid parental leave at 100% of salary
  • Paid Time Off and Company Holidays
  • Early access to earned wages through Daily Pay
  • Fulltime
Read More
Arrow Right

Compliance Senior Analyst

We’re looking for a Compliance Senior Analyst to join our Compliance Surveillanc...
Location
Location
United Kingdom , London
Salary
Salary:
Not provided
legalandgeneral.com Logo
LegalAndGeneral
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Experience in a financial services Compliance, surveillance, or regulatory oversight role
  • Strong analytical capabilities with the ability to interpret data and identify emerging risks
  • Understanding of regulatory requirements within the asset management sector
  • Knowledge of trading, financial instruments or the investment decision‑making process
  • Experience using surveillance or analytical tools (e.g., trade/communications surveillance software, Bloomberg, Tableau, SQL or Python)
  • Ability to work proactively with business stakeholders to meet regulatory requirements
  • High attention to detail, strong organisational skills and the ability to meet deadlines
  • A collaborative and curious mindset, with the confidence to challenge constructively and promote good conduct and Compliance culture
Job Responsibility
Job Responsibility
  • Delivering high‑quality, risk‑based Compliance surveillance across Market Conduct, Customer Outcomes and Communications Oversight
  • Leading and contributing to the development, calibration and automation of surveillance tests
  • Taking ownership of allocated business areas and representing Compliance in relevant meetings
  • Identifying regulatory issues and risks while conducting trend analysis and escalating findings promptly
  • Producing clear, concise management information to support governance forums and decision‑making
  • Maintaining and developing knowledge of relevant regulation and supporting business areas to adapt to new requirements
  • Assisting with data collation and analysis for regulatory requests and internal investigations
  • Collaborating effectively with wider Compliance and Risk colleagues, sharing insights and supporting training initiatives
What we offer
What we offer
  • The opportunity to participate in our annual, performance -related bonus plan and valuable share schemes
  • Generous pension contribution
  • Life assurance
  • Healthcare Plan (permanent employees only)
  • At least 25 days holiday, plus public holidays, 26 days after 2 years’ service. There’s also the option to buy and sell holiday
  • Competitive family leave
  • Participate in our electric car scheme, which offers employees the option to hire a brand-new electric car through tax efficient salary sacrifice (permanent employees only)
  • There are the many discounts we offer – both for our own products and at a range of high street stores and online
  • Fulltime
Read More
Arrow Right