Top Compliance Analyst Jobs in Boston, MA

Develops compliance analytics for AML, sanctions, and consumer compliance programs. Builds data pipelines, dashboards, scorecards, automated reporting, and data quality processes using dbt, GitLab, Python, SQL, Tableau, and Snowflake. Translates regulatory requirements into actionable insights, risk indicators, and metrics while communicating findings to senior management and regulatory stakeholders.

Monitor and resolve pre- and post-trade compliance alerts, maintain trading rules in the order management system, and analyze trade and position data using SQL. Automate compliance workflows with code and AI tools, maintain restricted securities lists, support MNPI processes, track regulatory developments, and assist with filings, audits, system upgrades, and compliance projects.

Monitors mutual fund investment compliance, reviews Charles River alerts, researches breaches, tests tax and regulatory requirements, and documents compliance activities. Supports prospectus and SAI guideline reviews, sub-adviser and service provider oversight, SEC and IRS compliance testing, regulatory filings, Board reporting, due diligence, and compliance projects. Communicates compliance guidance to sub-advisers and collaborates with internal partners under senior team supervision.

Supports investment teams by monitoring transactions and holdings for compliance with client guidelines and regulatory requirements. Reviews investment management agreements, evaluates client guidelines, maintains the Sentinel monitoring system, provides real-time pre-trade support, resolves post-trade exceptions, and collaborates with relationship, product management, and portfolio management teams.

Supports compliance, fraud, sanctions, complaints, and dispute programs; analyzes client activity to identify risks; improves compliance workflows and tooling; collaborates with Product, Engineering, Client Services, and Finance; conducts client outreach; supports audits, examinations, investigations, and regulatory inquiries; and reports compliance trends to leadership.

Conduct CDD and EDD reviews for LATAM-related customers, investigate cross-border transactions and potential money laundering or sanctions evasion, assess OFAC exposure, review ownership and source-of-funds information, disposition screening alerts, prepare UAR escalations, and support onboarding, monitoring, risk methodology, and compliance process improvements.

Conduct independent QA reviews of AML and financial crime investigations, including transaction monitoring, sanctions screening, EDD, and name screening. Evaluate decisions, documentation, regulatory adherence, and risk-based outcomes; identify defects and provide feedback. Analyze quality trends, prepare reports and dashboards, facilitate calibration sessions, support coaching and remediation, and recommend improvements to QA frameworks, workflows, scorecards, and controls. Participate in AML projects, UAT, process validation, and AI-enabled quality initiatives.

Reviews mortgage loan packages, underwriting documentation, data, and fees for regulatory compliance, accuracy, completeness, and salability. Captures and audits loan information, identifies discrepancies and exceptions, researches rebuttals, runs system validations, documents findings, and coordinates with internal teams to resolve issues and meet review timelines.

Supports investment guideline compliance testing and reporting across KKR’s insurance asset classes. Responsibilities include reviewing compliance reports, launching sidecar processes, responding to client inquiries, performing scenario analysis, onboarding pre-trade compliance rules, automating analyses with AI, and ensuring data quality. The role partners with investment teams, portfolio managers, senior management, clients, and internal stakeholders.

The job description provides limited responsibility details for a Compliance Program Analyst role. The position requires U.S. citizenship or naturalized citizenship, and all work must be performed within the continental United States, Alaska, or Hawaii. The listed annual compensation range is $90,000 to $110,000.

Supports mortgage origination compliance through complaint investigations, regulatory and investor examinations, risk-based monitoring, transactional testing, regulatory research, root cause analysis, reporting, and remediation. Independently manages multiple compliance matters, develops testing methodologies and monitoring materials, communicates findings to regulators and leadership, and recommends improvements to compliance controls and the Compliance Management System.

Reviews insurance products, forms, rates, rules, and filings for regulatory compliance. Monitors legal and regulatory changes, analyzes business impacts, supports regulatory change management, reconciles compliance data, verifies statistical reports, prepares SERFF filings, and advises stakeholders on compliance risks. Requires strong research, analytical, communication, organizational, and problem-solving skills, along with knowledge of property and casualty insurance products.

Build and scale compliance processes for Lemonade’s P&C insurance products across Car, Home, Renters, and Pet lines. Develop policies, provide regulatory guidance to leadership, partner with Insurance Operations and Product, manage compliance projects, and improve processes through AI and automation while handling multiple priorities and deadlines.

Supports a broker-dealer compliance program by maintaining policies and procedures, assisting with representative registrations, conducting compliance testing, delivering regulatory training, monitoring regulatory developments, and responding to regulatory inquiries. The role requires broker-dealer compliance experience, familiarity with FINRA and investment adviser regulations, strong data analysis, organization, attention to detail, and communication skills.

Conducts employee expense report audits, identifies compliance issues and fraud indicators, maintains internal control documentation and process maps, assesses control gaps, and supports internal and external audits. The role applies COSO, HIPAA, CMS, IRS, and internal control best practices while communicating findings and remediation recommendations to finance leadership and operational stakeholders.

Reviews securities and wealth-management compliance work products, including periodic client reviews, Reg BI and DOL rollover attestations, marketing communications, and structured-product or alternative-investment supervision. Identifies deficiencies, cites applicable controls and regulations, drafts audit-trail entries and reviewer dispositions, and evaluates compliance with FINRA, SEC, suitability, and supervisory requirements.

The Compliance Analyst reviews contractual obligations, manages distributions post-closing, liaises with clients and internal teams, and ensures compliance and accuracy in fund distribution processes.

The analyst will research filing requirements, prepare and monitor P&C rate filings, communicate revisions, support compliance operations, and monitor regulations pertinent to assigned products.

The Portfolio Oversight Analyst will manage trading controls, code client investment guidelines, handle regulatory compliance, and support trading desks. Responsibilities include preparing regulatory reports, assisting in client due diligence, and participating in overnight calls for trading issues resolution.

Perform customer due diligence and regulatory verification for client onboarding. Review onboarding packages, perform identity and sanctions screening, validate ownership and licenses, complete Payment Network checks, maintain client files, document exceptions, support Senior Compliance Managers, and improve SOPs to ensure compliant onboarding.