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.
The Risk and Compliance Analyst will play a critical role in driving the successful execution of a detailed analysis of Controls for our client's Commercial Banking environment....
Remote WorkThe Compliance Officer, Global Financial Crimes Group will assist the head of the Global Financial Crimes Group (FCG) with the ongoing activities related to the development, implementation and...
Governance, Risk, and Compliance Analyst, Specialist
- Charlotte, NC
- 11 days ago
- Charlotte, NC
- 11 days ago
Global Risk and Security (GR&S) at Vanguard enables business strategy, protects client and Vanguard interests (e.g., assets and data), and stewards a strong risk culture. Our teams leverage...
- Fort Mill, SC (14 miles from Charlotte, NC)
- 14 days ago
- Fort Mill, SC (14 miles from Charlotte, NC)
- 14 days ago
What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with...
Vanguard is seeking a dynamic and experienced leader to join our team as the U.S. AMLCO. This executive role is crucial in safeguarding our organization and clients from financial crimes,...
WHO WE ARE Elliott Davis pairs forward-thinking tax, assurance and consulting services with industry-leading workplace culture. Our nine offices located in the fastest growing cities in the US are...
Risk Compliance Officer II - Compliance Testing
- Charlotte, NC
- 45+ days ago
- Charlotte, NC
- 45+ days ago
Compliance has oversight responsibility....
- Fort Mill, SC (14 miles from Charlotte, NC)
- 60+ days ago
- Fort Mill, SC (14 miles from Charlotte, NC)
- 60+ days ago
Who We Are ServiceMac is a new sub-servicing entity backed by some of the leading practitioners of the mortgage servicing industry. ServiceMac is focused on providing superior technology,...
Remote WorkReq ID: 312689 NTT DATA strives to hire exceptional, innovative and passionate individuals who want to grow with us. If you want to be part of an inclusive, adaptable, and forward-thinking...
Technical Service & Compliance Coordinator
- Fort Mill, SC (14 miles from Charlotte, NC)
- 90+ days ago
- Fort Mill, SC (14 miles from Charlotte, NC)
- 90+ days ago
Basic Function This position is the key role in processing warrantyclaims. Adhere to company warranty policies and procedures to keep overallwarranty expenses within specified company metric....
Demographic Data for Charlotte, NC
Moving to Charlotte, NC? Find some basic demographic data about Charlotte, NC below.
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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
- 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
- Internal Control
- Equities
- Derivatives
- Management Reporting
- Fixed Income
- Capital Markets
- Securities and Exchange Commission
- Cross-Functional Team Management
- Financial Services
- Anti-Money Laundering
- Business Processes
- Business Administration
- Finance
- Reimbursement
- Accounting
- Vendor Management
- Risk Management
- Strategy Development
- Decision Making
- Implementation
- Auditing
- Consulting
- Written Communication
- Investigation
- Verbal Communication
- Mentoring
- Interpersonal Skills
- Data Analysis
- 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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