Compliance Specialist Jobs in Waukesha, WI
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.
Quality & Regulatory Affairs Specialist (Food Safety & Compliance)
- Milwaukee, WI (15 miles from Waukesha, WI)
- 2 days ago
- Milwaukee, WI (15 miles from Waukesha, WI)
- 2 days ago
Job Description The Quality & Regulatory Affairs Specialist (Regulatory & Specifications Specialist) is at the forefront of regulatory compliance and helps to ensure all processes and...
Finance Risk Compliance - Consultant/Manager
- Milwaukee, WI (15 miles from Waukesha, WI)
- 12 days ago
- Milwaukee, WI (15 miles from Waukesha, WI)
- 12 days ago
Job Description In Strategy & Consulting we work with C-suite executives, leaders and boards of the world's leading organizations, helping them reinvent every part of their enterprise to drive...
Sr Compliance Officer, Private Bank Compliance
- Milwaukee, WI (15 miles from Waukesha, WI)
- 15 days ago
- Milwaukee, WI (15 miles from Waukesha, WI)
- 15 days ago
Application Deadline: 03/07/2025 Address: 790 N Water Street Job Family Group: Audit, Risk & Compliance This role will be part of the Private Bank Compliance team within Wealth Management...
Government Funding Compliance Consultant - Director
- Milwaukee, WI (15 miles from Waukesha, WI)
- 28 days ago
- Milwaukee, WI (15 miles from Waukesha, WI)
- 28 days ago
Industry/Sector Not Applicable Specialism Fraud, Investigations & Regulatory Enforcement (FIRE) Management Level Director Job Description & Summary At PwC, our people in risk and compliance focus...
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Anticipated End Date: 2025-02-21 Position Title: Tech Compliance Auditor Advisor (US) Job Description: Technology Compliance Auditor Advisor Location: This position will work a hybrid model...
Sr. Regulatory Compliance Analyst
- Pewaukee, WI (4 miles from Waukesha, WI)
- 30+ days ago
- Pewaukee, WI (4 miles from Waukesha, WI)
- 30+ days ago
What part will you play? If youre looking for a place where you can make a meaningful difference, youve found it. The work we do at Markel gives people the confidence to move forward and seize...
Compliance Officer - Control Room
- Milwaukee, WI (15 miles from Waukesha, WI)
- 45+ days ago
- Milwaukee, WI (15 miles from Waukesha, WI)
- 45+ days ago
Review equity research reports as needed to ensure compliance with various legal and regulatory obligations. Assist with responding to regulatory inquiries....
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Required or preferred licenses and certifications for Compliance Specialist positions.
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Compliance Specialists in Waukesha, WI offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Specialist position
- Employment Law
- ISO Certified
- 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
- 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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