Compliance Analyst Jobs in Charlotte, NC
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.
Retail Safety & Compliance Associate - (Full Time)
- IKEA
- Charlotte, NC
- 14 days ago
- Charlotte, NC
- 14 days ago
Why we will love you You care about making a positive impact in the world. You understand greatness requires thinking differently. An inclusive and accepting work environment is important to you....
In Person Full TimeGovernance, Risk & Compliance Analyst, Specialist
- Vanguard
- Charlotte, NC
- 22 days ago
- Charlotte, NC
- 22 days ago
The Governance, Risk & Compliance Analyst, Specialist is a key member of Vanguard's Global Enterprise Security's Governance, Risk, Compliance (GRC) and Strategic Operations team....
In Person- LPL Financial
- Fort Mill, SC (14 miles from Charlotte, NC)
- 27 days ago
- Fort Mill, SC (14 miles from Charlotte, NC)
- 27 days ago
Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to...
In PersonWhere Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to...
In Person- Truist
- Charlotte, NC
- 45+ days ago
- Charlotte, NC
- 45+ days ago
Experience overseeing retail brokerage product/platform compliance and controls (e.g., mutual funds, ETFs, fixed income, alternatives where applicable), including new product reviews, suitability/sales...
In PersonDemographic Data for Charlotte, NC
Moving to Charlotte, NC? Find some basic demographic data about Charlotte, NC below.
Compliance Analyst Online Courses and Training Opportunities
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Salary for Compliance Analyst Jobs in Charlotte, NC
Required or preferred licenses and certifications for Compliance Analyst positions.
Highest Education Level
Compliance Analysts in Charlotte, NC 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
- Tila Respa Integrated Disclosures
- Equities
- Management Reporting
- Securities and Exchange Commission
- BSA
- Derivatives
- Know Your Customer
- Audit Support
- Retirement Planning
- 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
- 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
- Computer Skills
- Time Management
- Leadership
- Communication Skills
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