Compliance Specialist Jobs in New York
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.
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 WorkGuided by our company Purpose of "Inspiring well-being for our colleagues, consumers, and communities," we are committed to building a best-in-class Law Department. We drive a high-performance...
Overview Hudson Valley Credit Union is currently recruiting for the position of Legal and Compliance Analyst. Primary Function: support the management, optimization, and analysis within our legal...
Financial Crime Compliance Officer - Legal Rules/Regulations, Governance and New Business
- New York, NY
- 3 days ago
- New York, NY
- 3 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
- 5 days ago
- New York, NY
- 5 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...
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 Us Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique...
Demographic Data for New York
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Salary for Compliance Specialist Jobs in New York
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in New York offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Specialist 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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