Compliance Specialist Jobs in Exton, PA
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.
Analyst, Compliance & Product Support Exton, PA I Hartford, CT I USA As an Analyst, you will be a member of Regulatory Compliance Services (RCS) team part of AXA XL' s Underwriting Excellence...
- Talleyville, DE (17 miles from Exton, PA)
- 2 days ago
- Talleyville, DE (17 miles from Exton, PA)
- 2 days ago
Nemours is seeking a Regulatory Affairs Specialist to join our team in Wilmington, DE. Under the direction of the Manager of Regulatory & Accreditation Affairs, the Regulatory Affairs Specialist...
- West Chester, PA (3 miles from Exton, PA)
- 7 days ago
- West Chester, PA (3 miles from Exton, PA)
- 7 days ago
As a Compliance Associate, you will be a contributing member of the Venerable Investment Advisers, to provide support and monitor various key processes and regulatory functions of the LLC...
Senior Compliance Analyst, Financial Crimes Compliance - Anti-Money Laundering
- Malvern, PA (5 miles from Exton, PA)
- 7 days ago
- Malvern, PA (5 miles from Exton, PA)
- 7 days ago
Lead the Fight Against Financial Crime at Vanguard In this crucial role, you'll be at the forefront of Vanguard's Anti-Money Laundering and Compliance Operations. You'll identify and report...
Deposit Compliance and Monitoring Analyst (Hybrid)
- Wilmington, DE (22 miles from Exton, PA)
- 12 days ago
- Wilmington, DE (22 miles from Exton, PA)
- 12 days ago
Deposit Compliance and Monitoring Analyst (Hybrid) at The Bancorp Bank, N.A. in Wilmington, Delaware, United States Job Description Deposit Compliance and Monitoring Analyst (Hybrid) Job Location...
Fixed Income Compliance Associate Experienced Hire
- Bala Cynwyd, PA (21 miles from Exton, PA)
- 20 days ago
- Bala Cynwyd, PA (21 miles from Exton, PA)
- 20 days ago
Overview We are seeking a highly motivated individual to join our team as a Fixed Income Compliance Associate. You will be directly involved in reviewing all aspects of the Firm's fixed income...
Accountability and Compliance Coordinator
- King of Prussia, PA (13 miles from Exton, PA)
- 27 days ago
- King of Prussia, PA (13 miles from Exton, PA)
- 27 days ago
Accountability and Compliance Coordinator Agora Cyber Charter School Virtual - King of Prussia, Pennsylvania This job is also posted in Agora Cyber Charter School Job Details Job ID:4989496...
Assistant Manager, Facilities & Security / Clery Compliance Officer
- Wilmington, DE (22 miles from Exton, PA)
- 28 days ago
- Wilmington, DE (22 miles from Exton, PA)
- 28 days ago
Job Description Back to Career Opportunities Application Instructions Send a cover letter, resume, and three (3) professional references from previous supervisors, and one (1) professional...
- Villanova, PA (15 miles from Exton, PA)
- 30+ days ago
- Villanova, PA (15 miles from Exton, PA)
- 30+ days ago
Posting Details (Default Section) Posting Number: 20254259S Position Title: University Compliance Officer Position Type: Staff Location: Villanova, PA Recruitment Type: Internal/External...
Senior Regulatory Affairs Specialist
- Wilmington, DE (22 miles from Exton, PA)
- 45+ days ago
- Wilmington, DE (22 miles from Exton, PA)
- 45+ days ago
Overview: This position is responsible for supervisory exam management, continuous monitoring, and may provide consultation and guidance to (1) senior management and (2) Regulatory Affairs...
Legal/Regulatory Compliance Associate
- West Chester, PA (3 miles from Exton, PA)
- 60+ days ago
- West Chester, PA (3 miles from Exton, PA)
- 60+ days ago
As a Compliance Associate, you will be a contributing member of the Venerable Investment Advisers, to provide support and monitor various key processes and regulatory functions of the LLC...
VP, Compliance Officer - Deposit Advisory
- Malvern, PA (5 miles from Exton, PA)
- 60+ days ago
- Malvern, PA (5 miles from Exton, PA)
- 60+ days ago
At Customers Bank, we believe in working hard, working smart, working together to deliver memorable customer experiences and having fun. Our vision, mission, and values guide us along our path to...
Demographic Data for Exton, PA
Moving to Exton, PA? Find some basic demographic data about Exton, PA below.
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Salary for Compliance Specialist Jobs in Exton, PA
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Exton, PA 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
- 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
- Mentoring
- Written Communication
- Collaboration
- Documentation
- 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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