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.
Work Location: Charlotte, North Carolina, United States of America Hours: 40 Pay Details: $86,840 - $130,000 USD TD is committed to providing fair and equitable compensation opportunities to all...
Senior G&C Governance & Control Specialist Compliance COE
- Charlotte, NC
- 1 day ago
- Charlotte, NC
- 1 day ago
Work Location: Charlotte, North Carolina, United States of America Hours: 40 Pay Details: $110,760 - $166,400 USD TD is committed to providing fair and equitable compensation opportunities to all...
Senior Lead Compliance Officer - CIB Fixed Income Sales & Trading Compliance Team
- Charlotte, NC
- 5 days ago
- Charlotte, NC
- 5 days ago
About this role: Wells Fargo is seeking a Senior Lead Compliance Officer to join the CIB Fixed Income Business Aligned Compliance Team. This role within the Fixed Income Sales & Trading Compliance...
Senior Lead Compliance Officer - Municipal Products Group
- Charlotte, NC
- 7 days ago
- Charlotte, NC
- 7 days ago
About this role: Wells Fargo is seeking a Senior Lead Compliance Officer to perform as the Senior Lead Business Line Compliance Officer for Public Finance Investment Banking within the Municipal...
Lead Compliance Officer - Regulatory Change & Inventory Management
- Charlotte, NC
- 15 days ago
- Charlotte, NC
- 15 days ago
Wells Fargo is seeking a Lead Compliance Officer to join the Regulatory Change & Inventory Management (RCIM) team within Wells Fargo Compliance. As part of the RCIM team, the Lead Compliance...
Req 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...
**Requisition #:** 74445 **The Role at a Glance** As a Compliance Analyst, you will conduct in-person and remote inspections of broker-dealer offices to examine the procedures and activities of the...
Remote Workfunds....
Davidson & Co. is a leading financial services firm providing wealth management, financial planning, investment banking, and public finance services to a client base that includes individuals, corporations...
About this role: Wells Fargo is looking for a Compliance Officer responsible for creating, executing, and delivering reports to management and governance committees. The role involves turning...
- Fort Mill, SC (14 miles from Charlotte, NC)
- 45+ days ago
- Fort Mill, SC (14 miles from Charlotte, NC)
- 45+ days ago
The Senior Analyst, Compliance Operations/Information Lifecycle Management, will primarily be responsible for performing second-line controls intended to provide oversight of the firms regulatory...
Senior Lead Compliance Officer - RIM MCR Tool Senior Lead Compliance Officer - RIM MCR Tool locations CHARLOTTE, NC WEST DES MOINES, IA TEMPE, AZ SAINT LOUIS, MO DALLAS, TX View All 6 Locations...
Technical Service & Compliance Coordinator
- Fort Mill, SC (14 miles from Charlotte, NC)
- 60+ days ago
- Fort Mill, SC (14 miles from Charlotte, NC)
- 60+ 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....
Financial Services Commercial Advisory - Financial Crimes, Risk & Compliance Consultant
- Charlotte, NC
- 90+ days ago
- Charlotte, NC
- 90+ days ago
Job Family: Risk & Regulatory Compliance Consulting Travel Required: Up to 50% Clearance Required: None What You Will Do: Guidehouse has an aggressive growth strategy for its Financial Crimes,...
Demographic Data for Charlotte, NC
Moving to Charlotte, NC? Find some basic demographic data about Charlotte, NC below.
Compliance Analyst Online Courses and Training Opportunities
Title Synonyms
Users interested in this job title also searched for the following job title
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
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Internal Audits
- 21 CFR 820
- Mutual Funds
- 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
Other Career Titles
Here are some other career titles that require similar skills
Compliance Analyst Related Career Advice Articles
5 Types of Finance Jobs: Which Is the Best Fit?
Wondering if a finance job is right for you? Check out our guide to finance careers and learn more about working in finance.
Read article »
Impress Employers with These Finance Certifications
For professionals in the financial services industry, certifications can mean the difference between thriving or just surviving. Find out which certification would be best for you.
Read article »
Corporate Finance vs. Investment Banking: Which Career is Right for You?
Considering a career in corporate finance or investment banking? Read this comparison of requirements, job duties, salaries, and more to choose the right path.
Read article »