Compliance Analyst Jobs in Stamford, CT
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.
Regulatory Compliance Associate Work with CUSTOMER to understand requirements for regulatory reporting , frequency of the reports. Gather and validate financial and operational data from various...
Regulatory and Compliance Analyst
- New Canaan, CT (7 miles from Stamford, CT)
- 3 days ago
- New Canaan, CT (7 miles from Stamford, CT)
- 3 days ago
Job Description: Regulatory and Compliance Analyst is needed to perform the following duties: Coordinate and document Internal Regulatory processes such as Internal Audits, Registrations, License Renewals...
- Bethpage, NY (21 miles from Stamford, CT)
- 4 days ago
- Bethpage, NY (21 miles from Stamford, CT)
- 4 days ago
Attend meetings of the Alliance of Long Island Agencies Corporate Compliance Subcommittee and Quality Assurance Task Force as needed....
Compliance Associate Electronic Trading ComplianceNew Greenwich, CT
- Greenwich, CT (4 miles from Stamford, CT)
- 11 days ago
- Greenwich, CT (4 miles from Stamford, CT)
- 11 days ago
Compliance Associate - Electronic Trading Compliance at Interactive Brokers Greenwich, CT Company Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company...
Compliance Officer - Quant Trading
- Old Greenwich, CT (2 miles from Stamford, CT)
- 11 days ago
- Old Greenwich, CT (2 miles from Stamford, CT)
- 11 days ago
Compliance Officer - Quant Trading Position Details Provide ongoing compliance advisory to the Firm's largest portfolio manager Address system structuring questions and trading matters related to...
Compliance Associate - Electronic Trading Compliance
- Greenwich, CT (4 miles from Stamford, CT)
- 12 days ago
- Greenwich, CT (4 miles from Stamford, CT)
- 12 days ago
Company Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the...
Principal Regulatory Affairs Specialist
- Trumbull, CT (22 miles from Stamford, CT)
- 30+ days ago
- Trumbull, CT (22 miles from Stamford, CT)
- 30+ days ago
About this position At Henkel, you'll be part of an organization that's shaping the future through innovation, sustainability and collaboration. With our trusted brands like Persil, all, Loctite,...
Associate Fund Compliance Administrator
- Hauppauge, NY (23 miles from Stamford, CT)
- 60+ days ago
- Hauppauge, NY (23 miles from Stamford, CT)
- 60+ days ago
Experience working within the financial services and/or the mutual funds industry. KNOWLEDGE Automated post-trade compliance system. Microsoft Office Suite. Adobe Acrobat....
- Trumbull, CT (22 miles from Stamford, CT)
- 90+ days ago
- Trumbull, CT (22 miles from Stamford, CT)
- 90+ days ago
About CooperSurgical CooperSurgical is a leading fertility and women's healthcare company dedicated to putting time on the side of women, babies, and families at the healthcare moments that matter...
Demographic Data for Stamford, CT
Moving to Stamford, CT? Find some basic demographic data about Stamford, CT below.
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Salary for Compliance Analyst Jobs in Stamford, CT
Required or preferred licenses and certifications for Compliance Analyst positions.
Highest Education Level
Compliance Analysts in Stamford, CT offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Analyst position
- ISO Certified
- Retail
- Retail Banking
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Mortgage Lending
- Internal Audits
- Private Banking
- 21 CFR 820
- Equity Research
- BSA
- Equities
- Derivatives
- Internal Control
- Wealth Management
- Fixed Income
- Capital Markets
- Securities and Exchange Commission
- Lending
- Financial Services
- Mortgage Processing
- Anti-Money Laundering
- Business Administration
- Finance
- Accounts Receivable
- Information Technology
- Reimbursement
- Accounting
- Risk Management
- Staffing
- Analytical Skills
- Implementation
- Payroll
- Auditing
- Investigation
- Collaboration
- Documentation
- Reporting
- Bachelor's Degree
- Filing
- Regulations
- Policy Development
- Microsoft Office
- Problem Solving
- Microsoft Excel
- Research Skills
- Time Management
- Staff Supervision
- Organization
- Scheduling
- Leadership
- Communication Skills
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