Compliance Analyst Jobs in Purchase, NY
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 Lead Compliance Officer - Futures Commission Merchant (FCM) - Executive Director
- Wells Fargo
- New York, NY (24 miles from Purchase, NY)
- 16 hours ago
- New York, NY (24 miles from Purchase, NY)
- 16 hours ago
This role will report to the head of Equities Compliance within the Corporate & Investment Banking (CIB) Markets Compliance team....
In PersonSenior Lead Compliance Officer - Prime Brokerage & Equities
- Wells Fargo
- New York, NY (24 miles from Purchase, NY)
- 1 day ago
- New York, NY (24 miles from Purchase, NY)
- 1 day ago
The Senior Lead Compliance Officer will provide compliance coverage for Prime Brokerage, while extending support across Cash Equities and broader broker-dealer activities, partnering closely with business...
Hybrid- Computershare Inc
- New York, NY (24 miles from Purchase, NY)
- 5 days ago
- New York, NY (24 miles from Purchase, NY)
- 5 days ago
Location: New York City, NY, / Columbia, MD (Hybrid) In this position, you'll be based in the New York City or Columbia, MD office for a minimum of three days a week, with the flexibility to work...
RemoteChief Compliance Officer Consultant
- Staff Financial Group
- New York, NY (24 miles from Purchase, NY)
- 6 days ago
- New York, NY (24 miles from Purchase, NY)
- 6 days ago
Back To Results Chief Compliance Officer Consultant Job Description We are searching for a Senior Level Compliance professionial with financial services experience. This is a short-term consulting...
In PersonAnalyst-Compliance ; Customer Due Diligence
- American Express
- New York, NY (24 miles from Purchase, NY)
- 7 days ago
- New York, NY (24 miles from Purchase, NY)
- 7 days ago
The American Express Global Financial Crimes Compliance (GFCC) function provides second-line policy, framework, oversight and control solutions to meet the Companys legal, regulatory and risk...
In PersonGlobal Regulatory Reporting & Compliance Associate / VP Greenwich, CT, USA
- AQR
- Greenwich, CT (4 miles from Purchase, NY)
- 8 days ago
- Greenwich, CT (4 miles from Purchase, NY)
- 8 days ago
Global Regulatory Reporting & Compliance Associate / VP About AQR Capital Management AQR is a global investment firm built at the intersection of financial theory and practical application. We...
In PersonData Compliance - Associate/Vice President Greenwich, CT, USA
- AQR
- Greenwich, CT (4 miles from Purchase, NY)
- 11 days ago
- Greenwich, CT (4 miles from Purchase, NY)
- 11 days ago
Data Compliance - Associate/Vice President About AQR Capital Management AQR is a global investment firm built at the intersection of financial theory and practical application. We strive to...
In PersonCompliance Officer - Quant Trading
- Millennium Management
- Old Greenwich, CT (7 miles from Purchase, NY)
- 12 days ago
- Old Greenwich, CT (7 miles from Purchase, NY)
- 12 days ago
Compliance Officer - Quant Trading Position Details Provide ongoing compliance advisory to the Firm's largest portfolio manager Experience with addressing algorithmic/systematic trading matters is...
In PersonCompliance Officer, Broker-Dealer Advisor (Equities and Options) - VN2750
- Marex Group, Plc.
- New York, NY (24 miles from Purchase, NY)
- 13 days ago
- New York, NY (24 miles from Purchase, NY)
- 13 days ago
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...
In PersonRegulatory Affairs Specialist Jr Corporate COL
- Symrise
- Bogota, NJ (19 miles from Purchase, NY)
- 14 days ago
- Bogota, NJ (19 miles from Purchase, NY)
- 14 days ago
Symrise es un proveedor global de aromas y sabores, ingredientes activos y bases de cosmeticos e ingredientes funcionales. Sus clientes son fabricantes de perfumes, cosmeticos, alimentos y...
In PersonGlobal Regulatory Reporting & Compliance Associate / VP
- AQR
- Greenwich, CT (4 miles from Purchase, NY)
- 22 days ago
- Greenwich, CT (4 miles from Purchase, NY)
- 22 days ago
About AQR Capital Management AQR is a global investment firm built at the intersection of financial theory and practical application. We strive to deliver concrete, long-term results by looking...
In PersonCompliance Associate, SEC & Corporate
- LS Power Development, LLC
- New York, NY (24 miles from Purchase, NY)
- 24 days ago
- New York, NY (24 miles from Purchase, NY)
- 24 days ago
Overview About us: Founded in 1990, LS Power is a premier development, investment, and operating company focused on the North American power and energy infrastructure sector, with leading...
In Person- New York City, NY
- New York, NY (24 miles from Purchase, NY)
- 24 days ago
- New York, NY (24 miles from Purchase, NY)
- 24 days ago
The New York City Comptroller's Office works to promote the financial health, integrity, and effectiveness of New York City government, in order to strengthen trust, secure a thriving future for...
In PersonSenior Compliance Officer - US&C Investments
- Marsh & McLennan Companies, Inc.
- New York, NY (24 miles from Purchase, NY)
- 28 days ago
- New York, NY (24 miles from Purchase, NY)
- 28 days ago
Marsh US&C Investments Compliance is recruiting for a Senior Compliance Officer who will work three days a week in our Boston or New York office alongside our team. The team at Marsh will prepare...
Hybrid- Robinhood
- New York, NY (24 miles from Purchase, NY)
- 29 days ago
- New York, NY (24 miles from Purchase, NY)
- 29 days ago
Join us in building the future of finance. Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades. The...
In PersonDemographic Data for Purchase, NY
Moving to Purchase, NY? Find some basic demographic data about Purchase, NY below.
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Salary for Compliance Analyst Jobs in Purchase, NY
Required or preferred licenses and certifications for Compliance Analyst positions.
Highest Education Level
Compliance Analysts in Purchase, NY offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Analyst position
- Engineering
- ISO Certified
- Product Development
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Internal Audits
- OFAC
- 21 CFR 820
- Certified Employee Benefit Specialist
- Tila Respa Integrated Disclosures
- Equities
- Management Reporting
- Securities and Exchange Commission
- BSA
- Derivatives
- Know Your Customer
- Audit Support
- Fixed Income
- Internal Control
- Investment Management
- Anti-Money Laundering
- Financial Services
- Due Diligence
- Resolution
- Finance
- Accounting
- Reimbursement
- Analytical Skills
- Risk Management
- Strategy Development
- Auditing
- Written Communication
- Investigation
- Documentation
- Interpersonal Skills
- Implementation
- Verbal Communication
- Reporting
- Policy Development
- Filing
- Collaboration
- Education Experience
- Bachelor's Degree
- Sales
- Regulations
- Microsoft Excel
- Research Skills
- Microsoft Office
- Project Management
- Problem Solving
- Staff Supervision
- Scheduling
- Time Management
- Leadership
- Communication Skills
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Here are some other career titles that require similar skills
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