Compliance Analyst Jobs in Uniondale, 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.
Advisory Compliance Officer - Fixed Income Business Line Compliance
- New York, NY (21 miles from Uniondale, NY)
- 15 days ago
- New York, NY (21 miles from Uniondale, NY)
- 15 days ago
Advisory Compliance Officer - Fixed Income Business Line ComplianceCountry: United States of America Your Journey Starts Here: Santander is a global leader and innovator in the financial services...
Senior CRA Compliance Officer - US CRA
- New York, NY (21 miles from Uniondale, NY)
- 1 day ago
- New York, NY (21 miles from Uniondale, NY)
- 1 day ago
Date: Jun 14, 2025 Location: New York, NY, US, 10004 Company: Popular Workplace Type: Hybrid Senior CRA Compliance Officer - US CRA US CRA We are looking for a Senior CRA Compliance Officer to...
Quality and Regulatory Affairs Specialist-Mount Sinai Brooklyn - Full-time
- New York, NY (21 miles from Uniondale, NY)
- 6 days ago
- New York, NY (21 miles from Uniondale, NY)
- 6 days ago
Description The Quality and Regulatory Specialist facilitates and participates in the implementation of the multidisciplinary hospital and system wide Clinical Quality and Patient Safety...
AML Transaction Monitoring Analyst - Compliance - New York, New York, United States
- New York, NY (21 miles from Uniondale, NY)
- 7 days ago
- New York, NY (21 miles from Uniondale, NY)
- 7 days ago
Responsibilities The candidate will be responsible for reviewing alerts of potentially suspicious activity generated via the Bank's automated transaction monitoring system; closes or escalates...
Compliance Officer - Swap Advisory
- New York, NY (21 miles from Uniondale, NY)
- 8 days ago
- New York, NY (21 miles from Uniondale, NY)
- 8 days ago
Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and...
- New York, NY (21 miles from Uniondale, NY)
- 8 days ago
- New York, NY (21 miles from Uniondale, NY)
- 8 days ago
About the Role: Grade Level (for internal use): 10 About the Role/The Team: We are seeking an additional team member to support the implementation of regulatory action plans in the Americas,...
Analyst-Compliance, Global Financial Crimes Compliance, Product Approval
- New York, NY (21 miles from Uniondale, NY)
- 9 days ago
- New York, NY (21 miles from Uniondale, NY)
- 9 days ago
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and...
IT Risk and Compliance Analyst
- New York, NY (21 miles from Uniondale, NY)
- 11 days ago
- New York, NY (21 miles from Uniondale, NY)
- 11 days ago
IT Risk and Compliance Analyst NYC or Chicago Hybrid 2 days Onsite Job Description: Must Have: Strong communication skills to all levels, with previous experience of writing reports for senior staff...
Advisory Compliance Officer - Fixed Income Business Line Compliance. Job in New York Gr8Jobs
- New York, NY (21 miles from Uniondale, NY)
- 11 days ago
- New York, NY (21 miles from Uniondale, NY)
- 11 days ago
Advisory Compliance Officer - Fixed Income Business Line ComplianceCountry: United States of America Your Journey Starts Here: Santander is a global leader and innovator in the financial services...
Compliance Officer Broker-Dealer
- New York, NY (21 miles from Uniondale, NY)
- 12 days ago
- New York, NY (21 miles from Uniondale, NY)
- 12 days ago
This is a high-impact role within a small team focused on equity research distribution for institutional clients....
- New York, NY (21 miles from Uniondale, NY)
- 12 days ago
- New York, NY (21 miles from Uniondale, NY)
- 12 days ago
Compliance Associate 3.6 3.6 out of 5 stars New York, NY 10018 Hybrid work Position Summary This position reports to the Associate General Counsel/Compliance Officer and is part of the Legal and...
IT Risk and Compliance Analyst in New York, NY/ Chicago, IL office at least 2 days a week
- New York, NY (21 miles from Uniondale, NY)
- 13 days ago
- New York, NY (21 miles from Uniondale, NY)
- 13 days ago
Must Haves Strong communication skills to all levels, with previous experience of writing reports for senior staff Experience of ITIL Project Management experience Degree in technology-based...
Data Quality Compliance Officer
- New York, NY (21 miles from Uniondale, NY)
- 14 days ago
- New York, NY (21 miles from Uniondale, NY)
- 14 days ago
Data Quality Vice President Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management...
- Bethpage, NY (5 miles from Uniondale, NY)
- 15 days ago
- Bethpage, NY (5 miles from Uniondale, NY)
- 15 days ago
Attend meetings of the Alliance of Long Island Agencies Corporate Compliance Subcommittee and Quality Assurance Task Force as needed....
Compliance Associate Broker-Dealer
- New York, NY (21 miles from Uniondale, NY)
- 15 days ago
- New York, NY (21 miles from Uniondale, NY)
- 15 days ago
This is a high-impact role within a small team focused on equity research distribution for institutional clients....
Demographic Data for Uniondale, NY
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Required or preferred licenses and certifications for Compliance Analyst positions.
Highest Education Level
Compliance Analysts in Uniondale, NY offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Analyst position
- Retail
- Retail Banking
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Gmail
- Mortgage Lending
- Offer Letters
- Annuities
- Commercial Banking
- 21 CFR 820
- Tax Accounting
- Operations Analysis
- Internal Control
- Equities
- Derivatives
- BSA
- Management Reporting
- Wealth Management
- Fixed Income
- Securities and Exchange Commission
- Lending
- Financial Services
- Anti-Money Laundering
- Mortgage Processing
- Fraud Investigation
- Business Administration
- Finance
- Information Technology
- Reimbursement
- Accounting
- Risk Management
- Implementation
- Analytical Skills
- Payroll
- Auditing
- Verbal Communication
- Collaboration
- Flexibility
- Reporting
- Documentation
- Filing
- Bachelor's Degree
- Regulations
- Policy Development
- Microsoft Office
- Project Management
- Problem Solving
- Microsoft Excel
- Sales
- Research Skills
- Time Management
- Staff Supervision
- Organization
- Scheduling
- Leadership
- Communication Skills
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Here are some other career titles that require similar skills
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