Fund Compliance Analyst — US Policy & Risk
Vanguard
A leading investment management company is seeking a Fund Compliance Analyst to oversee compliance inspections and provide guidance on regulatory matters. This role requires a minimum of five years of relevant experience and involves preparing reports, testing compliance policies, and researching potential compliance issues. The position is full-time and located in Charlotte, NC, offering a hybrid work model to enhance flexibility and collaboration. #J-18808-Ljbffr Vanguard
$35k - $48k
...Education Required: BA/BS US Citizenship:... ...Corporation seeks a Junior Compliance Officer (Operations, Jr. Analyst) to support a... ...contract award and funding approval. We are proactively... ...DHS and ICE policies, privacy, records management... ...DHS/ICE Tier 4 High Risk Public Trust fitness...PolicyRiskFull timeContract workFor contractorsWork at officeRemote workWeekend work$104.4k - $150k
...Do We're looking for a Compliance Advisor to join our Principal... ...Securities/Principal Funds Distributor (PSI/PFD)... ...program consisting of policies, procedures, and... ...customer focus have made us a trusted leader for more... ...Demonstrated application of risk management frameworks...PolicyRiskHourly payWork experience placement$85.85k
...that demands the best of us, every day, as we build... ...place to be. The CX Compliance team is essential in ensuring... .... As a Senior Analyst, Compliance TMS Operations... ...in the Financial Crime Risk Service line and support... ...regulatory compliance policies and programs including...PolicyRiskFull timeWork at officeFlexible hoursShift workNight shift$70 - $80 per hour
AI Risk & Compliance Analyst $70 - $80 per hour | New York, NY | On-Site | Consulting A bit about us: We are a large, diversified organization with a complex technology environment... ...issue tracking, remediation management, policy exceptions, audit‑ready documentation, and...PolicyRiskHourly payFor contractorsLocal areaImmediate start- ...oriented and analytical Sales Compliance Analyst to support our sales... ...regulatory requirements, internal policies, and ethical sales practices.... ...identify potential compliance risks Collaborating with Legal, Sales... ...frameworks Why join us? We aspire to contemporary ways...PolicyRiskFull timeWork at officeRemote work
$244k - $365k
...will collaborate with the US market team to source,... ...transactions. Support compliance of transactions with... ...objectives in terms of risk management, strategic planning... ...future. Hybrid Work Policy: SCOR is committed to... ...match Company-funded Defined Contribution Retirement...PolicyRiskTemporary workWork at officeLocal areaRemote workRelocation package2 days per week3 days per week- ...crew and direct leader duties to ensure compliance with the policy and procedures set forth to support... ...Responsible (RPR) with complex internal audits, risk assessments, OSJ inspections, FINRA and... ...to Melbourne, our mission drives us forward and inspires us to be our best....PolicyRisk
$86.36k - $101.6k
...believe it takes all of us to bring our... ...Regulatory Reporting Analyst (Broker Dealer) is... ...This role ensures compliance with SEC and FINRA... ...outcomes, risks, and issues to senior... ...1(k) and employer-funded retirement plan* Paid... ...with U.S. Bank policies and procedures including...PolicyRiskTemporary workWork experience placementWork at officeLocal areaRemote workFlexible hours3 days per week$85k - $100k
...Senior Compliance Analyst Location: Charlotte, NC, Boston, MA, or Milwaukee, WI Job ID: 2026-120... ..., MA; Milwaukee, WI | Category: Legal, Risk, Compliance, Audit Overview This role supports... ...the adequacy and effectiveness of policies, procedures, processes, initiatives,...PolicyRiskFull timeWork at office- ...contributes to pricing inforce risk transfer opportunities... ...Working knowledge of US statutory accounting (... ...(FSA) with current CPD compliance; career ASAs with... ...the future. Hybrid Work Policy: SCOR is committed to... ...competitive match Company‑funded Defined Contribution...PolicyRiskPermanent employmentTemporary workWork at officeLocal areaRemote workWorldwideRelocation package2 days per week3 days per week
$57k - $87k
...general administrative direction, the Compliance Analyst uses knowledge and skills obtained through... ...interviews to assess adherence to firm policies and procedures, as well as applicable... ...independent judgment to identify potential risk areas during inspections and determine...PolicyRiskWork at officeFlexible hoursNight shift$79.2k - $104k
...ensures that investment accounting policies and procedures are correctly... ...accounting requirements for fund products and separately... ...Collaboration, Communication, Compliance, Data-Driven Business Intelligence... ...Financial Modeling, Financial Risk Management, Financial Statements...PolicyRiskWork experience placement$88.9k - $145k
...leads the review of accounting policies and procedures, ensuring they... ...for joint ventures to ensure compliance with investment accounting... ...accounting processes for unregistered funds and separate accounts with... ...on requirements, processes, risks, and costs from a Finance...PolicyRiskWork experience placement$71k - $125k
...Brooklyn Ohio About the Job The Home Lending Compliance Officer will be a member of the Home Lending Compliance team within Compliance Risk Management. They will provide support to... ...and escalates significant risks. Review policies and procedures for consistency with...PolicyRiskWork at officeFlexible hours- Sales Compliance Analyst Policy-Driven | Partner-Focused | Fair & Principled Location: On-Site | Charlotte, NC (HQ) Experience Required: 5-7 Years... ...compliance gaps, patterns of non‑adherence, or emerging risks across the channel partner network and escape findings...PolicyRiskFull timeLocal areaMonday to FridayFlexible hours
- ...PCI Compliance Specialist As a PCI Compliance Specialist, you will be responsible for ensuring... ...IT governance activities, facilitate IT risk assessments and audits, and assist with... ...adherence to regulations and internal policies and standards, with a focus on PCI DSS...PolicyRisk
$119.77k - $140.9k
...succeed. We believe it takes all of us to bring our shared ambition... ...U.S. Bancorp’s credit risk management activities. This role... ...and adherence to internal audit policies, procedures, and IIA Standards... ...leave ~401(k) and employer-funded retirement plan ~ Paid vacation...PolicyRiskTemporary workWork experience placementLocal area3 days per week- ...to clients Oversee risk and financial performance... ...experience in mutual fund tax Bachelor's degree... ...the bottom of our KPMG US Careers site at Benefits... ...regarding KPMG's compliance with federal, state and... ...abilities to adhere to company policies, exercise sound...PolicyRiskFull timeLocal area
$54k - $65k
...you to explore a career with us. As a member of the Client... ..., other investment funding, and transfers to ensure that... ...client interactions. Maintain risk awareness and compliance; identify problems in a timely... ...with standard resolution policy, the established corporate...PolicyRisk$150k - $225k
Director, CFO Services (OPEN TO ALL US LOCATIONS) Apply to the Director, CFO Services (... ...manage client’s expectations and minimize risks and negative impacts on project Develop straightforward... .... Employees and applicants can find A&M policy statements and additional information by...PolicyRiskFlexible hours- ...opportunity as a Sr. I&C Specialist for Compliance Sustainment reporting to the Sr. Director... ...a comprehensive mapping of compliance risks and existing control measures to be tested... ...growth Supporting the development of policies, procedures, and training materials Qualifications...PolicyRiskPermanent employmentTemporary workFlexible hours
- ...features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress... ...role.**Job Description:****Position:** Associate, Capital Risk - US**Level**: L9**Specific business/product groups:** Capital Risk...PolicyRiskWork at officeWork from homeFlexible hours
$105k - $135k
...Business partners, including Compliance, Audit, and Risk to understand needs and... ...enterprise data management policies and standards across GTS including... ..., prioritization, and funding impacts. ~ Hands-on, applied... ...Transparency details US - NY - New York - ONE BRYANT...PolicyRiskShift workDay shift- ...and make an impact. Join us! **Job Description:**... ...growth with appropriate risk adjusted returns. The... ...real estate loans, Hedge Fund loans, Fine Art loans,... ...portfolio of loans ensuring compliance with financial... ...and as such affirms in policy and practice to support...PolicyRiskWork at officeFlexible hoursShift workDay shift
- KeyBank seeks a Senior Compliance Officer, Horizontal Compliance to support the Compliance... ...mitigating regulatory and reputational risk across the bank and its subsidiaries. The... ...will develop and enforce risk programs, policies, and procedures and respond to audits while...PolicyRisk
$96k - $181k
...Brooklyn Ohio About the Job The Senior Compliance Officer, Horizontal Compliance is responsible... ...Executive in overseeing compliance risk mitigation and discouraging actions that... ...oversight of compliance risk programs and policies including providing highly specialized...PolicyRiskWork at officeFlexible hours$111.61k - $131.3k
...believe it takes all of us to bring our shared... ...partnership with Technology and Risk teams**Measurement &... ...Collaborate with Risk, Compliance, Legal, Technology, and... ...* 401(k) and employer-funded retirement plan* Paid... ...comply with U.S. Bank policies and procedures including...PolicyRiskTemporary workWork experience placementWork at officeLocal areaRemote workFlexible hours3 days per week$105k - $120k
...goals, client needs, and risk requirements. Lead and... ...business, operations, compliance, distribution,... ...within 12 months of hire (funded by EQH). Strong knowledge... ...timeframe, where permitted by policy). ASPPA Retirement... ...(***) ***-**** or email us at TalentAcquisition@...PolicyRiskRemote jobFull timeTemporary workLocal areaFlexible hours2 days per week3 days per week$126.82k - $149.2k
.... We believe it takes all of us to bring our shared ambition... ..., Cybersecurity, AI and Data Risk & Compliance Management team provides support... ...well as information security policies and practices. ADDITIONAL... ...parental leave 401(k) and employer‑funded retirement plan Paid...PolicyRiskTemporary workWork experience placementWork at officeLocal area- ...professionals for this role. The Compliance Manager leads a team of crew... ...interest in the compliance, risk, audit, or control domains.... ...all applicable Human Resources policies and procedures. Oversees and... ...Melbourne, our mission drives us forward and inspires us to be...PolicyRiskWork experience placement
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Fund Compliance Analyst — US Policy & Risk. Be the first to apply!
- regulatory reporting analyst Charlotte, NC
- legal compliance analyst Charlotte, NC
- senior compliance analyst Charlotte, NC
- regulatory compliance specialist Charlotte, NC
- trade compliance specialist Charlotte, NC
- regulatory affairs consultant Charlotte, NC
- regulatory affairs specialist Charlotte, NC
- compliance coordinator Charlotte, NC
- cybersecurity policy and compliance analyst Charlotte, NC
- compliance specialist Charlotte, NC



