Compliance Specialist Jobs in New York City, NY
A Compliance Specialist in the finance industry is primarily responsible for ensuring that the organization adheres to a variety of regulations, laws, and professional standards. They monitor, evaluate and communicate the organization's compliance status with respect to these regulations. They often conduct regular audits, implement compliance strategies, and provide compliance training to employees. Some Compliance Specialists may also be involved in developing targeted risk assessment methodologies, carrying out specific risk assessments, and building risk management plans.
Important skills for a Compliance Specialist include strong analytical abilities, excellent attention to detail, and solid communication skills. Knowledge of regulatory laws and standards in the finance industry is crucial. Compliance Specialists should also be able to use auditing software and other tools. In terms of certification, Certified Regulatory Compliance Manager (CRCM) is a popular one, while Certified Anti-Money Laundering Specialist (CAMS) and Certified Financial Crime Specialist (CFCS) are also useful. Previous job roles for someone considering becoming a Compliance Specialist may include Compliance Analyst, Risk Analyst, or Regulatory Affairs Specialist.
Equity Sales & Trading Compliance Officer
- New York, NY (2 miles from New York City, NY)
- 11 hours ago
- New York, NY (2 miles from New York City, NY)
- 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...
Sr. Security Governance, Risk & Compliance Analyst - Paze
- New York City, NY
- 2 days ago
- New York City, NY
- 2 days ago
At Early Warning, we've powered and protected the U.S. financial system for over thirty years with cutting-edge solutions like Zelle, Paze, and so much more. As a trusted name in payments, we...
Investment and Corporate Banking Advisory Compliance Officer- Americas (aICBAa)
- New York, NY (2 miles from New York City, NY)
- 2 days ago
- New York, NY (2 miles from New York City, NY)
- 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 (2 miles from New York City, NY)
- 2 days ago
- New York, NY (2 miles from New York City, NY)
- 2 days ago
TECHNOLOGY RISK & COMPLIANCE ANALYST Information Services Department Debevoise & Plimpton LLP is a premier law firm with market-leading practices, a global perspective and strong New York roots....
- New York, NY (2 miles from New York City, NY)
- 2 days ago
- New York, NY (2 miles from New York City, NY)
- 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 (2 miles from New York City, NY)
- 4 days ago
- New York, NY (2 miles from New York City, NY)
- 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 (2 miles from New York City, NY)
- 4 days ago
- New York, NY (2 miles from New York City, NY)
- 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 (2 miles from New York City, NY)
- 5 days ago
- New York, NY (2 miles from New York City, NY)
- 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...
Sr. Regulatory & Compliance Analyst
- New York, NY (2 miles from New York City, NY)
- 6 days ago
- New York, NY (2 miles from New York City, NY)
- 6 days ago
Sr. Regulatory & Compliance Analyst needed w/Master's degree or Foreign Equivalent in Health Care Administration or Regulatory Affairs or Pharmacy and one (1) year experience as Sr. Regulatory &...
- New York, NY (2 miles from New York City, NY)
- 7 days ago
- New York, NY (2 miles from New York City, NY)
- 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
- 8 days ago
- New York City, NY
- 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 (8 miles from New York City, NY)
- 9 days ago
- Bronx, NY (8 miles from New York City, NY)
- 9 days ago
Job Description: Regulatory and Compliance Specialist is needed to perform the following duties: oResponsible for REGULATORY COMPLIANCE leading to pharmacy management....
CMS Marketing Materials Regulatory/Compliance Associate
- New York, NY (2 miles from New York City, NY)
- 9 days ago
- New York, NY (2 miles from New York City, NY)
- 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 (2 miles from New York City, NY)
- 9 days ago
- New York, NY (2 miles from New York City, NY)
- 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 (2 miles from New York City, NY)
- 10 days ago
- New York, NY (2 miles from New York City, NY)
- 10 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 New York City, NY
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Salary for Compliance Specialist Jobs in New York City, NY
Required or preferred licenses and certifications for Compliance Specialist positions.
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Compliance Specialists in New York City, NY offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Specialist 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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