Compliance Analyst Jobs in New York
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.
Compliance Associate Vieux Vins Group is a prestigious wine and spirits company dedicated to curating a unique selection of fine wines and artisanal spirits from around the world. With a rich...
Principal Regulatory Affairs Specialist (SaMD)
- New York City, NY
- 14 hours ago
- New York City, NY
- 14 hours ago
We are a growing startup company focused on developing and distributing machine learning (artificial intelligence) solutions for medical applications. The Senior Regulatory Specialist must be...
Maven is the world's largest virtual clinic for women and families on a mission to make healthcare work for all of us. Maven's award-winning digital programs provide clinical, emotional, and...
Senior Financial Analyst, Financial Compliance and Reporting (Hybrid Schedule) Columbia University
- New York, NY
- 19 hours ago
- New York, NY
- 19 hours ago
Job Type: Officer of Administration Regular/Temporary: Regular Hours Per Week: 35 Building: Studebaker Salary Range: $80,000 - $85,000 The salary of the finalist selected for this role will be set...
IT Security Regulatory & Compliance - Associate Country: United States of America Your Journey Starts Here: Santander is a global leader and innovator in the financial services industry. We...
Senior Compliance Officer U.S. Markets Compliance Advisory, TD Securities
- New York, NY
- 2 days ago
- New York, NY
- 2 days ago
In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank....
Experience working within the financial services and/or the mutual funds industry. KNOWLEDGE Automated post-trade compliance system. Microsoft Office Suite. Adobe Acrobat....
Advanced knowledge of the regulatory environment of mutual funds, exchange traded funds and advisory accounts. 5+ years of Portfolio Compliance investment oversight experience....
Lead Compliance Officer - Electronic Trading / Market Access Compliance Program
- New York, NY
- 4 days ago
- New York, NY
- 4 days ago
About this role: Wells Fargo is seeking a Lead Compliance Officer in Corporate and Investment Banking (CIB) Compliance to support the Electronic Trading / Market Access Compliance Program on the...
Building at Check At Check, we make paying people simple. In doing that, we're not just building our own business- we're building payroll businesses together with every one of our partners. As the...
Industry/Sector Not Applicable Specialism Fraud, Investigations & Regulatory Enforcement (FIRE) Management Level Manager Job Description & Summary A career in our Cybersecurity, Privacy and...
Company Description A leading global investment firm is seeking an Analyst/Associate to join the Compliance team in the New York office. This is a generalist compliance position that will support...
As a member of the LRC/GA team, the Licensing & Regulatory Compliance Analyst will be a centralized versatile team member responsible for: a) completing, maintaining, and renewing key person disclosure...
You Lead the Way. We've Got Your Back. With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse...
Are you passionate about democratizing alternative investments? Do you enjoy meaningful work that has a noticeable impact on business performance?...
Demographic Data for New York
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Salary for Compliance Analyst Jobs in New York
Required or preferred licenses and certifications for Compliance Analyst positions.
Highest Education Level
Compliance Analysts in New York offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Analyst position
- ISO Certified
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Internal Audits
- 21 CFR 820
- Equity Research
- Management Reporting
- Equities
- Derivatives
- BSA
- Internal Control
- Securities and Exchange Commission
- Capital Markets
- Fixed Income
- Employee Benefits
- Investment Banking
- Anti-Money Laundering
- Financial Services
- Revenue Cycle
- Business Processes
- Fraud Investigation
- Medicaid
- Medicare
- Resolution
- Finance
- Change Management
- Accounting
- Risk Management
- Strategy Development
- Process Improvement
- Implementation
- Verbal Communication
- Written Communication
- Investigation
- Auditing
- Collaboration
- Documentation
- Flexibility
- Data Analysis
- Reporting
- Bachelor's Degree
- Filing
- Microsoft PowerPoint
- Regulations
- Policy Development
- Sales
- Project Management
- Problem Solving
- Microsoft Excel
- Microsoft Office
- Research Skills
- Staff Supervision
- Organization
- Scheduling
- Leadership
- Communication Skills
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