Sr. Compliance Analyst

Description 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-...