Compliance Analyst

CBIZ

Compliance Analyst ensuring regulatory compliance and audit support for CBIZ, Inc.'s business operations. Involves developing compliance programs and collaborating with internal stakeholders.

Posted 5/1/2026full-timeCleveland • Ohio • 🇺🇸 United StatesMid-LevelSeniorWebsite

About the role

Key responsibilities & impact

Assess, develop, implement, and ongoing maintenance of compliance programs in accordance with SEC, FINRA, and applicable state regulations.
Conduct and own ongoing monitoring, reviews, and testing of business activities to identify potential compliance risks and issues.
Help lead the Compliance and Operations teams with the preparation, review, and timely filing of regulatory reports and disclosures, including Form ADV, Form CRS, FINRA filings, and state regulatory submissions.
Support regulatory examinations, audits, and inquiries by preparing documentation, responding to requests, and coordinating with internal compliance stakeholders.
Review marketing, advertising, and client communications for regulatory compliance, and support RIA leadership with go-to-market initiatives.
Support compliance with corporate policies and programs, including but not limited to insider trading, RFPs, business continuity planning (BCP), records retention, and anti-bribery and anti-corruption requirements.
Help lead the administration, monitoring, and ongoing effectiveness of corporate compliance policies and programs across business units.
Support and enforce the codes of ethics, conflicts of interest processes, investigations, and whistleblower programs.
Participate in enterprise risk management (ERM) and compliance risk assessments.
Assist in the development, maintenance, testing, and documentation of internal controls related to compliance and corporate governance.
Support Board of Directors and committee reporting, including preparation of compliance summaries, metrics, and materials.
Assist and develop policy governance, including drafting, reviewing, updating, and distributing corporate compliance policies and procedures.

Requirements

What you’ll need

HS diploma or GED required; Bachelor's degree in Business, Economics, Statistics or relevant field preferred
3 years of relevant experience
Must possess analytical skills
Must be able to comprehend, manipulate and interpret statistical data
Demonstrated ability to communicate verbally and in writing throughout all levels of organization, both internally and externally
Proficient use of applicable technology

Benefits

Comp & perks

Health insurance
401(k) matching
Professional development opportunities
Paid time off

ATS Keywords

✓ Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

compliance programsregulatory reportsForm ADVForm CRSFINRA filingsbusiness continuity planninginternal controlspolicy governancestatistical data analysisrisk assessments

Soft Skills

analytical skillscommunication skillsleadershiporganizational skillsproblem-solvingattention to detailcollaborationadaptabilitycritical thinkingethics enforcement