Overview

The Regulatory Compliance Analyst supports the evaluation, documentation, and monitoring of transactions involving affiliated entities to ensure compliance with applicable regulatory requirements and internal operating policies. This role requires strong knowledge of Regulation W, as well as the ability to provide guidance on policy interpretation and procedural standards.

The position works closely with cross-functional teams to ensure accurate documentation, timely processing, and adherence to compliance frameworks.

Key Responsibilities

• Monitor shared communication channels for incoming transaction requests and provide initial guidance, including outlining required next steps
• Support business stakeholders in preparing standardized documentation for transactions requiring regulatory review
• Assist in data collection and analysis for monitoring quantitative limits and compliance thresholds
• Prepare and maintain monthly reporting, including key performance indicators (KPIs)
• Coordinate review processes by preparing meeting agendas, documenting outcomes, and maintaining approval records
• Review and update internal procedures to ensure alignment with current regulatory requirements and operating policies
• Provide support on process improvement initiatives, strategic projects, and evolving business requirements
• Respond to inquiries related to regulatory compliance and internal policies with clear and accurate guidance

Qualifications

• 10–15 years of professional experience in finance, compliance, or regulatory reporting
• Demonstrated experience with Regulation W and affiliated transaction oversight
• Strong understanding of regulatory reporting and compliance frameworks
• Bachelor’s degree in Accounting, Finance, or a related discipline preferred
• Ability to work independently and manage multiple priorities in a deadline-driven environment
• Strong analytical skills with high attention to detail
• Effective communication skills, both written and verbal
• Ability to adapt to evolving regulatory requirements and business needs
• Strong interpersonal skills with a focus on collaboration and stakeholder support

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