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.
funds, private funds AFC qualifications, e.g....
Innova Solutions is immediately hiring for a CMS Materials Compliance Associate Position type: Fulltime Duration: Permanent Location: New York, NY As a Federal & Integrated Products Materials you...
Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the worlds leading financial groups. Across the globe, were...
Remote WorkReporting Relationships As our Compliance Analyst, you will report to the Head of Compliance Shared Services....
Overview Hudson Valley Credit Union is currently recruiting for the position of Legal and Compliance Analyst....
Financial Crime Compliance Officer - Legal Rules/Regulations, Governance and New Business
- New York, NY
- 2 days ago
- New York, NY
- 2 days ago
Join us as a Financial Crime Compliance Officer, where you will support governance, oversight, and regulatory compliance efforts within Americas Financial Crime Compliance, through the enhancement...
Research, Marketing, and Content Compliance Officer - SVP (Hybrid)
- New York, NY
- 4 days ago
- New York, NY
- 4 days ago
Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures,...
The Group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and...
Support the business in remaining compliant within the regulatory environment and managing their risk. Work on the identification, assessment, measurement, mitigation and monitoring of compliance...
Wellington Management Senior Regulatory Compliance Analyst (R91047) in New York , New York Full Job DescriptionAbout UsWellington Management offers comprehensive investment management capabilities that...
Requisition ID: 219504 Salary Range: 117,400.00 - 224,700.00 Please note that the Salary Range shown is a guideline only. Salary offered may vary based on factors, including, but not limited to,...
Senior Compliance Officer, VP - Reg & Exam Mgmt (Hybrid)
- New York, NY
- 6 days ago
- New York, NY
- 6 days ago
Serves as a risk officer for Independent Compliance Risk Management (ICRM)s Exam Management and Regulatory Liaison Office responsible for the promotion, support, monitoring and reporting on Citis...
Senior Compliance Officer - Advisory, Index/Research, Data & Analytics
- New York, NY
- 6 days ago
- New York, NY
- 6 days ago
Description & Requirements The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy...
NFA is purpose-driven. We safeguard the integrity of the derivatives markets, protect investors and ensure that our Members meet their regulatory obligations. We take pride in our work; maintain a...
About the Role The Senior Regulatory Compliance Analyst will support Wellington Management's compliance program, focusing primarily on the rules and regulations governing US registered investment companies...
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
- Employment Law
- Customer Satisfaction
- Translation
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Education Experience
- Certified Fraud Examiner
- 21 CFR 820
- Treasury
- Comprehensive Capital Analysis and Review
- Treasury Management
- BSA
- Balance Sheets
- Securities and Exchange Commission
- Federal Acquisitions Regulations (FAR)
- Internal Control
- Capital Markets
- Fixed Income
- Investment Banking
- Lending
- Client Relationships
- Cost Accounting
- Financial Analysis
- Sarbanes-Oxley Compliance
- Anti-Money Laundering
- Financial Services
- Management Consulting
- Due Diligence
- Fraud Investigation
- Acquisitions
- Resolution
- Finance
- Change Management
- Reimbursement
- Accounting
- Strategy Development
- Risk Management
- Implementation
- Decision Making
- Auditing
- Investigation
- Consulting
- Written Communication
- Collaboration
- Documentation
- Interpersonal Skills
- Reporting
- Bachelor's Degree
- Filing
- Microsoft PowerPoint
- Regulations
- Policy Development
- Microsoft Excel
- Microsoft Office
- Problem Solving
- Research Skills
- Time Management
- Staff Supervision
- Organization
- Scheduling
- Leadership
- Communication Skills
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