Sr. Compliance Analyst

Sr. Compliance Analyst

We are looking for a Sr. Compliance Analyst to join a team in Charlotte, North Carolina in a contract-to-permanent capacity. This role focuses on personal trading surveillance and stock-related compliance activity, supporting a fast-paced environment that requires sound judgment, accuracy, and strong analytical ability. The ideal candidate brings prior experience reviewing compliance alerts, investigating exceptions, and managing case-related workflows while maintaining a high standard of detail and consistency.

Responsibilities:

• Monitor personal trading and stock compliance activity to identify potential policy breaches, unusual patterns, and items requiring escalation.
• Review surveillance alerts, examine supporting records, and determine appropriate next steps based on internal compliance standards.
• Investigate exceptions by gathering relevant data, documenting findings, and coordinating resolution with stakeholders when needed.
• Manage day-to-day compliance workflow queues, ensuring timely completion of reviews in a high-volume environment.
• Use Excel and other analysis tools to organize data, evaluate trends, and support reporting tied to trading and equity-related activity.
• Maintain accurate records of reviews, decisions, and follow-up actions to support audit readiness and regulatory expectations.
• Partner with compliance and business teams to address questions related to employee trading, stock plans, and associated controls.
• Contribute to oversight activities involving equity transactions, including areas such as restricted stock, stock administration, and employee stock programs.