Compliance Analyst Jobs in Cumming, IA
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.
Senior Risk & Compliance Analyst
- Des Moines, IA (12 miles from Cumming, IA)
- 1 day ago
- Des Moines, IA (12 miles from Cumming, IA)
- 1 day ago
Analyst is responsible for monitoring and analyzing medical and utilization management activities to ensure compliance with internal policies, state, CMS, and federal regulations....
IT SOX Compliance Risk Analyst I
- Clive, IA (9 miles from Cumming, IA)
- 2 days ago
- Clive, IA (9 miles from Cumming, IA)
- 2 days ago
If you are a current FIB employee, please apply through the Career Worklet in the Employee Portal. This position may be located at any of First Interstate Bank's offices in Colorado, Idaho, Iowa,...
Sr. Compliance Consultant- Broker-Dealer
- West Des Moines, IA
- 6 days ago
- West Des Moines, IA
- 6 days ago
Sr. Compliance Consultant- Broker-Dealer West Des Moines, Iowa Legal/Compliance 6/23/2025 What You Can Expect In This Role We are seeking a knowledgeable and detail-oriented Sr. Compliance...
Director, Chief Compliance Officer West Des Moines, Iowa Legal/Compliance 6/24/2025 What You Can Expect In This Role The Director, CCO directs the development, design, implementation and oversight...
Regulatory Affairs Specialist - Post Market
- Des Moines, IA (12 miles from Cumming, IA)
- 27 days ago
- Des Moines, IA (12 miles from Cumming, IA)
- 27 days ago
Regulatory Affairs Specialist - Post Market - req1434** **OVERVIEW** Reporting to the Director Regulatory Affairs, the Regulatory Affairs Specialist is responsible for complaint handling,...
Remote WorkDemographic Data for Cumming, IA
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Salary for Compliance Analyst Jobs in Cumming, IA
Required or preferred licenses and certifications for Compliance Analyst positions.
Highest Education Level
Compliance Analysts in Cumming, IA offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Analyst position
- ISO Certified
- Product Development
- Corrective Actions & Preventive Actions
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Internal Audits
- Private Banking
- 21 CFR 820
- Equity Research
- Operations Analysis
- BSA
- Equities
- Derivatives
- Internal Control
- Management Reporting
- Fixed Income
- Investment Banking
- Capital Markets
- Securities and Exchange Commission
- Cross-Functional Team Management
- Financial Services
- Anti-Money Laundering
- Business Processes
- Due Diligence
- Business Administration
- Finance
- Reimbursement
- Accounting
- Vendor Management
- Risk Management
- Strategy Development
- Decision Making
- Implementation
- Auditing
- Consulting
- Written Communication
- Investigation
- Verbal Communication
- Mentoring
- Interpersonal Skills
- Collaboration
- Flexibility
- Reporting
- Documentation
- Filing
- Bachelor's Degree
- Regulations
- Microsoft PowerPoint
- Policy Development
- Microsoft Office
- Project Management
- Problem Solving
- Sales
- Microsoft Excel
- Research Skills
- Staff Supervision
- Organization
- Scheduling
- Leadership
- Communication Skills
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