Compliance Analyst Jobs in New York
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.
Job Description: Regulatory and Compliance Analyst is needed to perform the following duties: Assist Pharmacist in reviewing Center of Medicare & Medicaid service (CMS) prescription data claims as well...
Broker Dealer Regulatory Governance Compliance Officer
- New York, NY
- 15 hours ago
- New York, NY
- 15 hours 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,...
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...
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 or Regulatory & Compliance Analyst performing following job duties:Evaluate and ensure departmental and organizational policy and practice compliance with applicable...
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...
**Requisition #:** 74445 **The Role at a Glance** As a Compliance Analyst, you will conduct in-person and remote inspections of broker-dealer offices to examine the procedures and activities of the...
Remote WorkWe are hiring for a Regulatory Compliance Analyst to join our team....
Compliance Associate - Surveillance & Investigations
- New York City, NY
- 5 days ago
- New York City, NY
- 5 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,...
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
- 5 days ago
- New York, NY
- 5 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...
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...
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...
Coordinate the current Good Manufacturing Practice (cGMP) compliance efforts for pharmaceutical manufacturing & packaging process related to solid oral dosage forms.Develop a compliance plan by...
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,...
Demographic Data for New York
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Salary for Compliance Analyst Jobs in New York
Required or preferred licenses and certifications for Compliance Analyst positions.
Highest Education Level
Compliance Analysts in New York 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
- 21 CFR 820
- Management Reporting
- BSA
- Wealth Management
- Internal Control
- Securities and Exchange Commission
- Capital Markets
- Fixed Income
- Employee Benefits
- Investment Banking
- Investment Management
- Anti-Money Laundering
- Revenue Cycle
- Financial Services
- Business Processes
- Fraud Investigation
- Medicaid
- Medicare
- Fundraising
- Resolution
- Finance
- Change Management
- Accounting
- Risk Management
- Strategy Development
- Process Improvement
- Implementation
- Written Communication
- Verbal Communication
- Investigation
- Auditing
- Microsoft Outlook
- Documentation
- Flexibility
- Reporting
- Collaboration
- Interpersonal Skills
- Bachelor's Degree
- Filing
- Microsoft PowerPoint
- Sales
- Regulations
- Policy Development
- Project Management
- Problem Solving
- Microsoft Excel
- Microsoft Office
- Staff Supervision
- Organization
- Research Skills
- Scheduling
- Leadership
- Communication Skills
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