Compliance Analyst Jobs in Saddle Brook, NJ
A Compliance Analyst in the finance industry plays a crucial role in ensuring that the operations and business transactions follow all relevant legal, regulatory, and internal rules. They are responsible for reviewing and setting standards for operational procedures, drafting and implementing company policies, and conducting periodic audits to ensure compliance. These professionals also provide guidance on compliance matters and act as the point of contact for regulatory bodies. They help prevent business disruptions, financial loss, and potential damage to an organization's reputation caused by non-compliance.
Compliance Analysts should possess strong analytical, problem-solving, and communication skills. They should also have a thorough understanding of compliance standards and regulations, and a keen eye for detail. A Bachelor's degree in finance, business, or a related field is usually required, and a Master's degree can be beneficial. Additionally, certification like the Certified Regulatory Compliance Manager (CRCM) can boost their credibility. Before becoming a Compliance Analyst, a person may have roles such as a Compliance Assistant, Risk Management Specialist, or a Financial Analyst. These roles provide the necessary experience in understanding financial regulations and the operational aspects of the finance industry.
Equity Sales & Trading Compliance Officer
- New York, NY (11 miles from Saddle Brook, NJ)
- 11 hours ago
- New York, NY (11 miles from Saddle Brook, NJ)
- 11 hours ago
Equity Sales and Trading Compliance - Vice President Company Profile Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment...
Security Governance, Risk & Compliance Analyst - Paze
- New York City, NY (13 miles from Saddle Brook, NJ)
- 2 days ago
- New York City, NY (13 miles from Saddle Brook, NJ)
- 2 days ago
Security Governance, Risk & Compliance Analyst - Paze position will support the Audit Readiness program within SecGRC with review and responding to Paze Customer, Merchant, and Integrator inquiries...
Investment and Corporate Banking Advisory Compliance Officer- Americas (aICBAa)
- New York, NY (11 miles from Saddle Brook, NJ)
- 2 days ago
- New York, NY (11 miles from Saddle Brook, NJ)
- 2 days ago
Summary: A The Investment and Corporate Banking Advisory (aICBAa) Compliance Officer a Americas is responsible for the regulatory advisory function of the investment banking and financing...
Technology Risk & Compliance Analyst
- New York, NY (11 miles from Saddle Brook, NJ)
- 2 days ago
- New York, NY (11 miles from Saddle Brook, NJ)
- 2 days ago
The firm is seeking a Technology Risk & Compliance Analyst, reporting to the Technology Risk & Compliance Manager....
- New York, NY (11 miles from Saddle Brook, NJ)
- 2 days ago
- New York, NY (11 miles from Saddle Brook, NJ)
- 2 days ago
The Agency You'll Join: The Commission on Racial Equity is an independent 15-member commission responsible for engaging diverse communities to hold NYC government accountable to advancing racial...
Broker Dealer Regulatory Governance Compliance Officer
- New York, NY (11 miles from Saddle Brook, NJ)
- 4 days ago
- New York, NY (11 miles from Saddle Brook, NJ)
- 4 days ago
SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing,...
- New York, NY (11 miles from Saddle Brook, NJ)
- 4 days ago
- New York, NY (11 miles from Saddle Brook, NJ)
- 4 days ago
The New York City Department of Youth and Community Development (DYCD) invests in a network of community-based organizations and programs to alleviate the effects of poverty and to provide...
- New York, NY (11 miles from Saddle Brook, NJ)
- 5 days ago
- New York, NY (11 miles from Saddle Brook, NJ)
- 5 days ago
The Company You'll Join Carta develops purpose-built software that transforms traditional accounting into a powerful growth engine. Carta's world-class fund administration platform supports nearly...
Regulatory & Compliance Analyst
- New York, NY (11 miles from Saddle Brook, NJ)
- 6 days ago
- New York, NY (11 miles from Saddle Brook, NJ)
- 6 days ago
Regulatory & Compliance Analyst or Regulatory & Compliance Analyst performing following job duties:Evaluate and ensure departmental and organizational policy and practice compliance with applicable...
- New York, NY (11 miles from Saddle Brook, NJ)
- 7 days ago
- New York, NY (11 miles from Saddle Brook, NJ)
- 7 days ago
Providing advisory and monitoring activities in support of Investment Banking, Equity Sales and Trading, Research distribution, and Equity Research coverage/production; Building and maintaining strong...
Compliance Associate - Surveillance & Investigations
- New York City, NY (13 miles from Saddle Brook, NJ)
- 8 days ago
- New York City, NY (13 miles from Saddle Brook, NJ)
- 8 days ago
Compliance Associate - Surveillance & Investigations About us: Public is an investing platform that makes building a multi-asset portfolio fast, frictionless, and secure. Members can trade stocks,...
Regulatory and Compliance Specialist
- Bronx, NY (10 miles from Saddle Brook, NJ)
- 9 days ago
- Bronx, NY (10 miles from Saddle Brook, NJ)
- 9 days ago
Job Description: Regulatory and Compliance Specialist is needed to perform the following duties: oResponsible for REGULATORY COMPLIANCE leading to pharmacy management. Evaluating and ensuring...
CMS Marketing Materials Regulatory/Compliance Associate
- New York, NY (11 miles from Saddle Brook, NJ)
- 9 days ago
- New York, NY (11 miles from Saddle Brook, NJ)
- 9 days ago
Innova Solutions is immediately hiring for a CMS Marketing Materials Regulatory/Compliance Associate Position type: Fulltime Duration: Permanent Location: New York, NY As a Federal & Integrated...
VP, Fixed Income Compliance Officer
- New York, NY (11 miles from Saddle Brook, NJ)
- 9 days ago
- New York, NY (11 miles from Saddle Brook, NJ)
- 9 days ago
Job Title: Fixed Income Compliance Officer Level: Vice President Reporting to: US Head of Fixed Income Compliance Job Description: The Fixed Income Compliance Officer serves as key...
- New York, NY (11 miles from Saddle Brook, NJ)
- 9 days ago
- New York, NY (11 miles from Saddle Brook, NJ)
- 9 days ago
About the Role: A large Global Financial Services firm is seeking experienced professionals to join their Anti-Money Laundering (AML) team. The ideal candidates will have a strong background in...
Demographic Data for Saddle Brook, NJ
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Salary for Compliance Analyst Jobs in Saddle Brook, NJ
Required or preferred licenses and certifications for Compliance Analyst positions.
Highest Education Level
Compliance Analysts in Saddle Brook, NJ offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Analyst position
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Internal Audits
- ICH Guidelines
- OFAC
- 21 CFR 820
- Management Reporting
- BSA
- Wealth Management
- Internal Control
- Securities and Exchange Commission
- Capital Markets
- Fixed Income
- Employee Benefits
- Investment Banking
- Investment Management
- Lending
- Anti-Money Laundering
- Financial Services
- Business Processes
- Fraud Investigation
- Medicaid
- Fundraising
- Finance
- Liaison
- Change Management
- Accounting
- Risk Management
- Strategy Development
- Process Improvement
- Analytical Skills
- Implementation
- Decision Making
- Written Communication
- Verbal Communication
- Investigation
- Auditing
- Collaboration
- Documentation
- Flexibility
- Reporting
- Interpersonal Skills
- Bachelor's Degree
- Filing
- Microsoft PowerPoint
- Regulations
- Policy Development
- Sales
- Project Management
- Problem Solving
- Microsoft Excel
- Microsoft Office
- Staff Supervision
- Organization
- Research Skills
- Scheduling
- Leadership
- Communication Skills
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