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.

Qualifications:

• 2-5 years of experience in compliance, personal trading surveillance, or a related control-focused function.

• Hands-on background reviewing alerts, researching exceptions, and completing compliance case workflows.

• Knowledge of equity-related activities, including areas such as stock compensation, employee stock purchase plans, employee stock ownership plans, or restricted stock.

• Strong Excel skills with the ability to analyze data efficiently and accurately.

• High attention to detail and the ability to manage repetitive review work without sacrificing quality.

• Familiarity with Stock Compliance platforms or similar surveillance systems is preferred.

• Effective written and verbal communication skills with the ability to clearly document findings and decisions.

Hybrid onsite- Charlotte, NC

Perm salary $90-$100K

Compensation

Based on experience

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