Compliance Analyst Skills, Experience, and Job Requirements

COMPLIANCE ANALYST SKILLS, EXPERIENCE, AND JOB REQUIREMENTS

Updated: Dec 26, 2024 - The Compliance Analyst excels in quantitative analysis, fair lending, and navigating complex regulations like ECOA/Regulation B, HMDA, and the Fair Housing Act. Equipped with expertise in loan origination systems and visualization tools, the role demands high proficiency in organizational and analytical skills. Known for outstanding communication and interpersonal skills, adept at multitasking, prioritizing projects, and meeting tight deadlines while leveraging data to enhance operational efficiency and insights.

Essential Hard and Soft Skills for a Standout Compliance Analyst Resume

Regulatory Compliance
Risk Assessment
Data Analysis
Audit Procedures
Legal Research
Financial Reporting
Policy Development
KYC Procedures
AML Expertise
Compliance Software Proficiency

Attention to Detail
Problem-Solving
Ethical Judgment
Communication Skills
Adaptability
Team Collaboration
Analytical Thinking
Integrity
Proactive Mindset
Conflict Resolution

Summary of Compliance Analyst Knowledge and Qualifications on Resume

1. BA in Finance with 2 Years of Experience

Experience in a compliance, auditing, or an analysist role, preferably in support of technology related organizations
Ability to multi-task
A strong attention to detail
Comfortable with regular re-prioritization
Strong written and verbal communication skills
Excellent interpersonal skills both internal and with customers
Independent thinker with strong work ethic and positive attitude
Highly Proficient in Microsoft Office solutions (Excel, Word, Outlook)
Experience with Salesforce CRM
Ability to self-start, think creatively and initiate projects that lead to improved scalable workflows
Highly organized and detail oriented with the ability to manage multiple initiatives simultaneously, proactive, self-motivated

2. BA in Business Administration with 3 Years of Experience

Experience in quantitative analysis.
Experience in fair lending and working with regulations (i.e. ECOA/Regulation B, HMDA, Fair Housing Act)
Some experience with loan origination systems
Some experience with visualization tools for reporting
Excellent organizational and analytical skills.
Has the ability to communicate clearly and professionally with all levels of an organization.
Has excellent written and verbal communications skills.
Has effective interpersonal skills.
Proficiency in multi-tasking and prioritizing projects.
Has excellent time management skills and is accustomed to working with deadlines.
Experience in leveraging data to identify, create, and mature solutions to drive efficiencies and operational insights.

3. BA in Economics with 2 Years of Experience

Experience in Corporate Legal, Compliance, or Accounting department with compliance or project management responsibilities
Advanced skills in MS Excel (Pivot Tables/VLOOKUP), Word and PowerPoint
Meticulous attention to detail
Experience with anti-corruption and FCPA compliance requirements
Experience with SharePoint/Oracle/JIRA/Qlikview
Ability to learn quickly, prioritize workload, manage multiple tasks with competing deadlines while maintaining accuracy, and perform well with minimal direct supervision
Excellent judgment and respect for confidentiality
Excellent communication (verbal and written) and peer-to-peer interaction skills
Understanding of the Investment Company Act of 1940, Investment Adviser's Act, and UK and European regulatory frameworks, such as various UCITs rules
Understanding of financial instruments across asset classes in the investment compliance monitoring context, including equity, fixed income, and derivative instruments

4. BA in Law with 6 Years of Experience

Strong verbal and written communications skills - ability to present ideas and complex information clearly and effectively through multiple channels
Strong negotiation and influence skills, including the ability to interact with various levels of management
Ability to identify, analyze and resolve problems independently, and call out matters
Detail oriented and well organized to effectively prioritize work queue and meet timelines.
Enjoy reading and understanding business communications, policies, and regulations.
Impressive organisational skills and ability to handle multiple tasks in a rapidly changing environment.
Ability to work independently and prioritise tasks.
Brilliant communication skills - both written and verbal.
Strong analytical and problem-solving skills, as well as strong verbal communication and interpersonal skills with all levels of seniority
Ability to work independently and as a team, exercise flexibility, initiative, good judgment, and discretion

5. BA in Accounting with 2 Years of Experience

Experience in Finance Operations/Shared Services, Accounts Payable or Account Receivable (Collections) or General Ledger.
Proven experience working in LATAM Countries.
Proven strong customer focus.
Track record of driving or escalating issues.
Expertise in using Oracle Financial Applications.
Excel professional proficiency: pivot tables, data presentation, formulas, conditionals, etc.
A work ethic based on a strong desire to exceed expectations.
Strong interpersonal skills including written and oral communication skills.
Self-motivated, and able to work effectively, in cross-functional groups, and with internal and external customers.
A work ethic- strong desire to attention to details to prevent errors during the execution of tasks
A self-motivated individual able to dive deep when issues arise (mid to high complex issues)

6. BA in Political Science with 1 Years of Experience

Experience in a professional, deadline driven environment
Advanced knowledge of Microsoft Word and Excel
Exceptional attention to detail
Strong verbal and written communication skills
Ability to accurately complete high volume work
Ability to work well under pressure
Excellent organization skills
Experience within investment compliance, paralegal, legal, or general compliance
Compliance rule coding and testing experience preferably using BlackRock Aladdin or similar order management systems
Fluency in English and Chinese (Putonghua) languages, excellent written and verbal communication skills and attention to detail.
Proficient with technology, spreadsheets, CRM tools, and case management systems, Microsoft Office.

7. BA in Public Administration with 3 Years of Experience

Risk modeling experience with transactional database in payment management or management equivalent desired
Strong quantitative analytical experience, including background with statistical analysis and database structure
Risk Framework creation / experience
Ability to assess data, interpret ambiguous situations, and make decisions under pressure
Knowledge in fraud prevention methods and detection tools
Understanding of mitigating online fraud, such as account takeover, phishing, online card testing, etc.
Risk Management experience with traditional and alternative payment methods
Excellent written, oral and presentation skills and an ability to synthesize information and make clear, concise recommendations on a course of action
Understanding of cross-functional roles within an organization including vendor physical security, customer service, dispute processing, fulfillment and fraud prevention
Knowledge of mobile and multi-channel commerce solutions

8. BA in Risk Management with 4 Years of Experience

Experience in the insurance sector considered an asset
Experience in an international company with English as a functional language
Experience managing multiple projects with varying timeframes and deadlines
Knowledge of due diligence procedures, sanctions or Anti Bribery regulation is a bonus but not a requirement.
Prior use of a compliance system/software such as Dow Jones, Thomson Reuters/Refinitiv is a bonus but not a requirement
Fluent in English (written and verbal)
Strong MS office skills (Excel, Word) and clear grasp of IT solutions to facilitate training
Strong written and verbal communication skills
Superior organizational and process skills
Superior attention to detail
Able to operate as part of a team or alone and work under pressure

9. BA in International Relations with 2 Years of Experience

Work experience in banking or regulatory compliance, ideally in the HSA and consumer directed healthcare industry
Experience with project management and successful completion of project-based tasks will be required to be successful
A passion for healthcare, financial services, consumerism, compliance, risk and/or any combination of these disciplines
Strong interest in learning new things and comfort in pushing new boundaries
Strong analytical skills and understanding of utilizing data to make process improvements and solve problems Proficiency with databases, SQL and dashboard tools.
Working experience including risk management, merchant fraud, compliance, auditing, eCommerce Trust & Safety related areas.
Previous working experience in eCommerce merchant qualification review and auditing
Creative, team-focused problem solving skills with drive for deadline completion
Expert level MS Office (Word, PowerPoint, Excel, One Note, Access)
Strong time management and organizational skills, effectively prioritizes work time to ensure productivity and fulfills department standards for time spent.

10. BA in Information Systems with 4 Years of Experience

Outstanding judgment, organizational, and analytical skills
Keen attention to detail, coupled with excellent verbal and written communication abilities
Strong working knowledge of analytical tools such as Snowflake, Excel, and visualization software (such as Looker or Tableau)
Understanding of BSA/AML and program requirements
Ability to collaborate cross-functionally with business partners and communicate complex regulations to them
Curious about technology, consumer finance, and improving consumer credit products
Progress towards or achievement of industry certifications (such as CAMS, CFE, or CIA)
Business or legal experience, preferably in a highly regulated industry.
Experience influencing others to take action.
Experience interacting with and working directly with/for internal/external business partners.

11. BA in Finance with 3 Years of Experience

Industry experience or related internship experience
Knowledge of Life insurance and annuity products or general insurance products
Knowledge of Federal and state insurance laws and regulations (Group life and group disability insurance products a plus)
Knowledge of Securities laws and regulations (including FINRA rules applicable to communications and sales material)
Ability to process material assigned for review and approval in a timely manner.
Must possess excellent written and verbal communications skills.
Must be able to prioritize and make good judgments, including when to escalate matters to management
Must be highly organized in order to process a high volume of documents on a daily basis.
Must be able to work effectively under pressure and tight deadlines.
Must have excellent computer skills, proficient in PowerPoint, Adobe, and Snagit.
Must have good judgment, be a self-starter and proactive.
Must be objective and professional.

12. BA in Business Administration with 4 Years of Experience

Experience with compliance duties such as: developing policies and procedures, performing outreach and training, monitoring and risk-assessment procedures, leading internal/external audits and meeting deliverables, and ensuring State and Federal reporting obligations are met.
Experience working with State and Federal rules and regulations.
Proficient in modern computer applications and platforms like MS Office Suite, MS Teams, Zoom and database systems.
Ability to work independently with a high degree of reliability, accuracy, and productivity.
Excellent oral and written communication skills.
Must exhibit excellent customer service & always respond promptly and in a professional manner.
Excellent interpersonal skills and an ability to work both independently and as a member of a team
Able to prioritize quickly, often in busy periods, in a calm manner
Able to use initiative and work with minimal supervision
Knowledge of Chinese Legal and Compliance regulation

13. BA in Economics with 3 Years of Experience

Superb attention to detail and excellent writing skills
Highly organized and quick learner
Excellent communication skills
Proven ability to synthesize complex government guidance to all levels of associates, management and external contacts
Proven ability to independently manage projects from implementation to successful completion
Familiar with the data validation features of Excel and proofreading features of Word
Experience in compliance-related matters in the health care industry
Comprehensive knowledge of government mandated and internal health plan reporting.
Knowledge of Medicaid and Medicare regulations
Strong technical and business writing skills demonstrating the ability to write reports and business correspondence
In-depth knowledge of the healthcare industry audit operations, and claims handling and payment operations

14. BA in Law with 5 Years of Experience

Experience in banking, data analytics, other financial or data privacy compliance, and/or internal audit
Working knowledge of SQL
Strong attention to detail with robust data analysis skills
Ability to learn new tasks, systems, or processes quickly
Proficient in Microsoft Office Suite, with strength in Microsoft Excel.
Very strong analytical, written, and oral communication skills
Ability to thrive in a strong team environment, while managing through independent judgment and discretion, various compliance projects and programs from conception to successful implementation
Physical demands for this position frequently include: the ability to remain in a stationary position, move about freely inside and occasionally outside of the office, and the operation of mechanical controls, such as a keyboard.
Knowledge of consumer protection laws (TILA, ECOA, FDCPA, GLBA, FCRA, EFTA and the Dodd-Frank Act)
Prior experience with lending products & CRCM certification

15. BA in Accounting with 3 Years of Experience

Experienced in secretary or office administration
Have a compliance or legal related bachelor degree.
Have good communication skills, know how to behave skillfully and have experience in working with partners or clients.
Good Microsoft Office skills: Word, Excel, PowerPoint, etc.
Ability to interact with others in one-on-one situations to identify issues/problems and provide training/coaching to correct problem areas.
Experience creating and implementing a healthcare reporting program
Experience with drafting and revising key operational documents (e.g., Policies and Procedures, Member Communication)
Have attention to details and analytical skills
Proficient in MS Office (Excel, Outlook, Word, Power Point)
Excellent presentation skills
Comfortable planning, executing, and delivering on multiple long-term projects with external dependencies in tandem.

16. BA in Political Science with 3 Years of Experience

Experience using Code of Conduct/Code of Ethics.
Preferably background in investment management or brokerage companies.
Familiarity with Investment Advisers Act of 1940
Excellent written and verbal communication skills
Experience with FINRA’s IARD filing system
Attention to detail is critical
Ability to work effectively in a team environment where workload is shared across offices, time zones and hand-off points
Experience assessing security, compliance, and privacy controls across a variety of technical and organizational environments.
Familiarity with distributed applications on cloud infrastructure and a broad range of technical concepts relevant to cloud computing environments including logical access controls, agile development, information security, network security, privacy, etc.
Ability to clearly communicate compliance requirements to engineering teams and the ability to interpret technical implementations and communicate to to external auditors.

17. BA in Public Administration with 9 Years of Experience

Knowledge of consumer credit card compliance requirements and standards.
Ability to formulate compliance procedures, and related documentation.
High written and oral communication aptitude.
Exceptional interpersonal skills.
Experience in financial markets compliance, at a Regulator, an Exchange, or similar role.
Extensive experience in Hong Kong financial markets regulation, including SFC licensing for Type 1 and 2 regulated activities, and HKEX rules.
Familiarity with market laws and regulations in other Asia-Pacific jurisdictions would also be an advantage.
Strong attention to detail and analytical/problem solving skills.
Experience dealing with requests for information, audits, inspections, and investigations.
Experience with scripting or programming and databases (eg Python, SQL)

18. BA in Risk Management with 3 Years of Experience

Experience in a Compliance function
Understanding of electronic trading, with a focus in options and futures
Ability to manage and prioritize multiple on-going projects in fast paced, high performing trading environment
Excellent eye for detail, demonstrate a high level of integrity
Proactive approach to field internal questions and future regulations
Ability to operate effectively in a team environment
Knowledge of compliance regulation with respect to the SEC, FINRA, CME, and CFTC
Willingness to cross train in all areas of compliance and establish strong working relationships with exchanges, regulators and vendors
Excellent verbal and written communication skills
Strong time management skills with an emphasis on follow-through
Experience with Schwab Compliance Technologies, Global Relay and FINRA Web CRD

19. BA in International Relations with 2 Years of Experience

Relevant financial crime and/or compliance experience
An analytic mind and ability to work independently
Experience in client risk assessments and reviews
Sound understanding of PEPs and Sanctions
Solid understanding of AML, CFT and ABC risks
Experience performing and running audits, certification programs or control assessments.
Big 4 experience or compliance risk advisory experience
CISA, CIA, CISSP or other related certifications
Strong knowledge of and experience in security risk management and with frameworks including related regulatory compliance requirements (e.g SOC 1/2, ISO 27001, PCI, HITRUST)
Excellent verbal and written communication skills.

20. BA in Information Systems with 5 Years of Experience

Have a solid understanding of FCA objectives and the regulatory environment, with a working knowledge of current and emerging FCA requirements for Coverholders
An understanding of Delegated and Binding Authorities and the expectations Lloyd's has in this area will also be useful
Basic knowledge of personal automobile, homeowners, and personal excess liability insurance products
Experience in compliance or security related work
Experience with identity management practices that focus on access management and governance
Experience in customer service
Proficient in MS Office Word, Excel, and Outlook
Excellent problem solving, time management and organizational skills
Good verbal and written communication skills required to interact with all levels of colleagues and outside contacts.
Good knowledge of lending regulations including but not limited to Reg B, Reg C, Reg X, Reg Z, Reg U

21. BA in Finance with 5 Years of Experience

Proficient in Microsoft Office, including Excel, Word, PowerPoint and Outlook
Knowledge of the servicing standards/best practices as defined by the Client and/or federal guidelines like DOJ or CFBP standards.
Knowledge of servicer systems and documentation and affidavits involved in the default process.
Capacity to navigate a complex business process model and identify potential bugs in the associated logic.
Ability to prioritize a heavy workload in order to meet deadlines and production goals.
Ability to receive and apply constructive feedback to improve efficiency and quality of personal and team performance.
Strong analytical and problem solving skills.
Ability to work independently and maintain attention to detail.
Strong written and oral communication skills to effectively communicate with colleagues at all levels
Familiarity with security standards (SOC 2, ISO 27001, HITRUST, and NIST 800) as well as privacy laws (CCPA and GDPR)

22. BA in Business Administration with 3 Years of Experience

Experience in financial compliance investigations, Anti-Money Laundering, Fraud Prevention, or a related field.
Investigations experience in a Money Service Business
Experience in writing and preparing Suspicious Activity Reports (SARs) or similar in accordance with applicable regulatory requirements
CAMS of CFE certification
CISM, NCSF, CCSP, CISSP, or CISA certifications
Extensive knowledge of GRC best practices for SaaS organizations
Experience in the IT field in a security leadership / influencer role related to IT audits, risk management, or system development
Experience implementing cloud security and compliance standards, frameworks, and controls (ISO/IEC 27001, SOC 2, FedRAMP, NIST SP 800-53r4) for cloud service delivery models (IaaS, PaaS, SaaS)
Proficiency in Microsoft Word, Excel, and PowerPoint as well as Adobe Acrobat Pro and SharePoint.
Have excellent communication skills

23. BA in Economics with 5 Years of Experience

Knowledgeable of compliance laws, rules, regulations (with a special emphasis on consumer protection regulations), and procedures. Sound knowledge of principles of business.
Ability to communicate at a management level (oral and written) and work well with others in a dynamic team environment.
Demonstrated ability to utilize a consultative approach with all levels of management.
Strong foundation in credit union philosophy, member service and operational processes.
Ability to work effectively and collaboratively within the department, with business unit owners, and others outside of the credit union.
Strong problem-solving, credit union operations, and organizational skills with the ability to present information logically.
Ability to positively communicate suggested solutions and alternate outcomes.
Ability to multi-task effectively and meet deadlines with limited supervision.
Possess the ability to work independently with minimal some direction and exhibit initiative.
Demonstrated ability to think critically think and analyze and communicate complex information to all levels of management and staff.

24. BA in Law with 6 Years of Experience

Certification Requirements: CISM, CRISC, CISA, CISSP, or CTPRP highly desired.
Prefer experience in the Financial Services/Banking sector.
Strong MS office (Word, Excel, PowerPoint)
Experience as a compliance analyst, paralegal, or legal assistant in a regulated financial institution
Familiar with (or at least not intimidated by) securities related filings (including Form D filings)
Strong communication skills (verbal, listening and written)
Strong organizational skills
Is comfortable with structured work and repeatable tasks
Demonstrated skills in process improvement and/or ability to quickly tackle complex processes/topics
Works hard and smart with attention to detail and relishes working with long, detailed documents and checklists

25. BA in Accounting with 3 Years of Experience

Qualified candidate will possess a working knowledge of the fixed income markets/products, including Derivatives
Experience with negotiating, interpreting, and implementing investment guidelines
In-depth understanding of compliance, mutual fund regulations (including, but not limited to the Investment Company Act of 1940), or other common legal/regulatory practices
Experience in Finance or Economics and/or equivalent work
Experience with SQL
Candidate must be a collaborative self-starter whom is detail-oriented
Possess exceptional communication and problem-solving skills
Candidates must also have a working knowledge of MS Word and Excel
Experience in FINRA broker-dealer and SEC RIA compliance roles
In-depth knowledge of FINRA marketing and advertising rules

26. BA in Political Science with 5 Years of Experience

Experience in the compliance functions of a broker-dealer.
Correspondent Clearing experience strongly
Experience with FINRA rules applicable to marketing and client communications and regulatory filings
Knowledge of applicable SEC and FINRA rules.
Knowledge of FINRA Series 7, Series 24 (or ability to obtain)
Strong interpersonal and written communication skills
Highly motivated with capability to work with minimum supervision on a wide range of matters.
Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail.
Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential.
BSA and banking compliance experience
Ability to work independently with limited required direction and guidance

27. BA in Public Administration with 4 Years of Experience

Must hold current coding certificate - Registered Health Information Administrator (RHIA), Hospital coding certificate (CCS), other coding certificates considered (e.g. CCS-P, CPC, CPC-H, CPMA).
Practical experience in health care regulation
Extensive knowledge of various coding and reimbursement systems with coding experience
Ability to affect change while maintaining positive relationships.
Knowledge of federal, state and payer specific regulations and policies pertaining to documentation, coding and billing.
Highly developed analytical and organizational skills, excellent written and verbal communication skills and the ability to articulate difficult concepts in an understandable manner.
Ability to present compliance related information in various settings.
Ability to perform internet research.
Microsoft Word, Excel, PowerPoint and Outlook.
Ability to navigate through difficult situations.
High level of attention to detail

28. BA in Risk Management with 4 Years of Experience

Intermediate knowledge of laws applicable to money laundering, including the BSA, USA Patriot act, Treasury AML guidelines, OFAC requirements, and Suspicious Activity Reporting requirements, and/or global AML/CFT/Fraud laws and regulations
Some knowledge of domestic and international high risk countries, jurisdictions, and corridors of AML/CTF concern
Demonstrate ability to work successfully in a fast pace, highly structured, deadline driven culture.
Excellent organization, strong time management skills, including the ability to effectively prioritize work assignments with changing priorities.
Must be a self-starter with strong attention to detail.
Must be able to work independently or in a team environment under minimum supervision.
Able to multi-task and complete projects on time.
Exceptional research and analytical, cross-referencing, and deductive reasoning skills.
Excellent written and verbal skills necessary to interact and communicate with various levels of internal and external clients, up to and including senior leadership & law enforcement.
Must be proactive in making process/procedure enhancement suggestions geared toward mitigating risk in an ever-changing regulatory environment.

29. BA in International Relations with 3 Years of Experience

Able to communicate effectively with a culturally diverse agent and consumer base.
Experience working with highly confidential information.
Capable of sharing knowledge, mentoring, and training other team members.
Have a solid business knowledge and comprehension of MoneyGram products and services globally.
Strong sense of ownership and responsibility.
Must be proficient in Microsoft Office.
Experience with supervising FINRA registered representatives and SEC-registered advisers
Experience with creating and implementing compliance policies and procedures
Clinical background and knowledge acquired by serving in a CMA, LPN, or RN role
Experience with in regulatory compliance, risk or audit for a financial institution including an emphasis on regulatory compliance, customer service, branch operations, complaint resolution and problem-solving.
Able to multitask, work under pressure in a fast-paced environment, and meet deadlines

30. BA in Information Systems with 5 Years of Experience

In-depth knowledge of SAP Basis and Security for ECC, BW, HANA and Fiori including table, role, and code design.
Understanding of SAP GRC Access Control, Identity management and Risk Management Module.
Experience in the design, implementation, and testing of business process or Information Technology (IT) controls in an SAP environment, including SAP automated, manual, security, and segregation of duty controls.
Ability to communicate efficiently and effectively with all levels of management
Demonstrated project management skills
Flexible and creative thinking, SAP Training and Certification
Excellent communication skills
Familiarity with COBIT, NIST CSF, ISO27k, PCI DSS, etc. and how these are evaluated in the SAP environment.
Current knowledge of latest risks and challenges in the SAP space and able to provide current and ongoing recommendations to partners on risk posture
Operational IT technical and managerial experience

31. BA in Finance with 4 Years of Experience

Experience in related fields, such as Information Security, Risk Management/Third Party Risk Management, Compliance, IT Audit, preferably in the Financial Services/Banking sector.
Ability to obtain ASPPA’s Retirement Plan Fundamental certificate (RPF-1 & RPF-2 exams).
Progressive plan experience in third party administration environment
Experience on preparing and explaining qualified plan compliance testing and government form filings.
Previous client services or customer service experience.
ASC experience
Familiarity effectively leveraging MSP (Managed Service Provider)
Competency working with international teams
Applicable certifications (e.g. CISA, CISSP, CGEIT, CRISC)
Proven computer technical skills – MS Office Suite, Google Suite

32. BA in Business Administration with 2 Years of Experience

Exceptional organizational skills & attention to detail
Strong communication skills – both oral and written
Team-player, customer-centric attitude
Ability to work across multiple systems and navigate quickly from one system to another
Effective working both independently and within a team
Skilled at problem-solving, able to discern alternatives, make objective recommendations, and collaborate with others to accomplish goals
Ability to manage multiple priorities and allocate resources in line with priorities with a focus on both timeliness and accuracy of services
Ability to manage a wide variety of confidential information in a professional manner and have the ability to manage fluctuating priorities and workload
Understands government compliance for licensing and tax compliance as well as hold keen insights into the alcohol beverage industry
Automated tax solution experience

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