Compliance Quality Assurance Analyst

This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Compliance Quality Assurance Analyst based in the United States.

This role supports an enterprise-wide regulatory compliance and quality assurance program within a complex financial services environment.
You will help strengthen compliance monitoring, risk assessment, regulatory change management, and testing practices across the organization.
The position combines analytical work, regulatory research, stakeholder collaboration, and quality assurance activities.
You will contribute to audit and regulatory examinations while helping identify, assess, and remediate compliance risks.
Working with compliance leaders, subject matter experts, and risk owners, you will help turn findings into practical improvements.
The role offers meaningful exposure to enterprise risk management and regulatory processes while operating in a collaborative remote environment.
It is well suited to a detail-oriented professional who brings sound judgment, strong communication skills, and a forward-looking approach to emerging risks.

• Collaborate with compliance leadership to design, implement, and maintain quality assurance programs that support regulatory compliance across business units.
• Monitor regulatory developments, assess their potential organizational impact, and support adherence to applicable laws, regulations, and standards.
• Coordinate audit and regulatory examination activities by tracking requests, gathering documentation, facilitating communications, and supporting interactions with auditors and examiners.
• Assist with comprehensive compliance risk assessments, including identifying industry-specific risks, evaluating historical issues, engaging subject matter experts, and coordinating with risk owners.
• Develop and maintain risk assessment methodologies, metrics, definitions, documentation standards, and related processes.
• Analyze and tabulate assessment results, develop risk matrices, communicate findings, and incorporate stakeholder feedback to continuously improve risk management practices.
• Create and maintain quality assurance testing plans covering objectives, sampling approaches, assessment criteria, policies, and schedules for individual risk areas.
• Assign responsibilities, monitor initiative progress, and report on the status and effectiveness of compliance quality assurance activities.
• Perform independent testing of material rules, laws, and regulations and validate both the design and operating effectiveness of controls and remediation activities.
• Support the development and implementation of corrective action plans for identified compliance deficiencies and contribute to issue remediation.
• Prepare clear, accurate management reports outlining testing activities, findings, risks, and recommended improvements.
• Support broader regulatory management initiatives, including regulatory change monitoring, remediation, examinations, and continuous improvement.
• Maintain high standards of integrity, confidentiality, documentation quality, and regulatory compliance while collaborating across the organization.

Requirements

• Bachelor’s degree or equivalent in a relevant discipline, combined with approximately 5 years of directly related experience.
• At least 5 years of relevant experience within diversified financial services is preferred, particularly across regulatory, legal, audit, lending, compliance, or operations functions.
• Experience leading, supporting, or coordinating audits and/or regulatory examinations, including working with internal and external auditors or regulatory examiners.
• Strong understanding of Enterprise Risk Management frameworks, risk management processes, risk appetite statements, key risk indicators/measures, risk assessments, and review methodologies.
• Experience with compliance testing, quality assurance, regulatory management, issue remediation, or control effectiveness validation.
• Excellent analytical, problem-solving, organizational, and decision-making abilities, with the capacity to execute work accurately and thoughtfully under deadlines.
• Exceptional written and verbal communication skills, including proofreading, editing, formatting, facilitation, and the ability to communicate complex compliance matters clearly.
• Strong stakeholder management skills and the professional presence needed to work effectively with employees, leadership, external auditors, and regulatory agencies.
• Proficiency with business software and information technology used to collect, organize, analyze, maintain, and communicate information, with the ability to adapt to new or complex technologies.
• Ability to prioritize competing responsibilities independently while contributing effectively within a collaborative team environment.
• Forward-thinking, enterprise-level mindset with the ability to anticipate emerging compliance and regulatory risks.
• High integrity, discretion, sound judgment, strong work ethic, and a commitment to confidentiality.
• Ability to work remotely while maintaining productivity, professionalism, and strong customer-service standards.
• Ability and willingness to travel domestically up to approximately 10% annually, including occasional travel for team meetings.
• Must be legally authorized to work in the United States; visa sponsorship or transfer is not available.

Benefits

• Annual base salary range of $83,889.29 to $142,611.79, with geographic adjustments based on work location and compensation determined by qualifications, experience, skills, achievements, and other relevant factors.
• Performance-based incentive compensation eligibility.
• Fully remote work arrangement, with the option to work from an office when needed.
• Medical, dental, and vision coverage.
• 401(k) plan with an automatic 3% employer contribution plus matching contributions of up to 6%.
• Generous paid time off, including vacation, sick leave, 12 paid holidays, and volunteer time.
• Disability and life insurance coverage.
• Employee mental, physical, and financial wellness programs.
• Family-friendly work environment and supportive team culture.
• Investment in employee development and professional growth.
• Opportunities to contribute to a mission supporting agriculture and the communities it serves.
• Some travel support for team meetings and other business needs.

We use an AI-powered matching process to ensure your application is reviewed quickly, objectively, and fairly against the role's core requirements. Our system identifies the top-fitting candidates, and this shortlist is then shared directly with the hiring company. The final decision and next steps (interviews, assessments) are managed by their internal team.

We appreciate your interest and wish you the best!

Why Apply Through Jobgether?

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