Compliance Analyst Jobs in Exton, PA
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.
- Glen Mills, PA (11 miles from Exton, PA)
- 1 day ago
- Glen Mills, PA (11 miles from Exton, PA)
- 1 day ago
In this role, the Compliance Associate will play a key part in supporting and implementing compliance programs for SEC-registered investment advisers and funds (including mutual funds and ETFs)....
Governance, Risk, and Compliance Analyst, Specialist
- Malvern, PA (5 miles from Exton, PA)
- 6 days ago
- Malvern, PA (5 miles from Exton, PA)
- 6 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...
Chase Auto Compliance Officer VP
- Wilmington, DE (22 miles from Exton, PA)
- 13 days ago
- Wilmington, DE (22 miles from Exton, PA)
- 13 days ago
The Channel Strategy, Execution and Controls Group within Chase Auto Marketing covers marketing compliance, regulations, and marketing controls. Its mission is to deliver a framework and service...
U.S. Anti-Money Laundering Compliance Officer
- Malvern, PA (5 miles from Exton, PA)
- 13 days ago
- Malvern, PA (5 miles from Exton, PA)
- 13 days ago
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,...
As an Analyst, you will be a member of the compliance team and will play an integral role in AXA XL's US (Re) Insurance Compliance and Regulatory operations. This team is part of AXA XL's North...
Compliance Consultant, Advertising Review
- Radnor, PA (12 miles from Exton, PA)
- 21 days ago
- Radnor, PA (12 miles from Exton, PA)
- 21 days ago
Alternate Locations: Radnor, PA (Pennsylvania); Fort Wayne, IN (Indiana); Greensboro, NC (North Carolina); Hartford, CT (Connecticut); Omaha, NE (Nebraska) Work Arrangement: Hybrid Preferred :...
Compliance Consultant, Funds Management
- Radnor, PA (12 miles from Exton, PA)
- 26 days ago
- Radnor, PA (12 miles from Exton, PA)
- 26 days ago
Alternate Locations: Radnor, PA (Pennsylvania); Boston, MA (Massachusetts); Dover, NH (New Hampshire); Fort Wayne, IN (Indiana) Work Arrangement: Hybrid Preferred : Preferred employee will work 3...
Compliance Consultant, Advertising Review - Investments
- Radnor, PA (12 miles from Exton, PA)
- 27 days ago
- Radnor, PA (12 miles from Exton, PA)
- 27 days ago
funds, in addition to Lincoln's annuity, insurance, and retirement plan products....
Compliance Consultant, Advertising Review - Private Market Funds
- Radnor, PA (12 miles from Exton, PA)
- 30+ days ago
- Radnor, PA (12 miles from Exton, PA)
- 30+ days ago
funds, in addition to Lincolns annuity, insurance, and retirement plan products....
Regulatory Compliance Specialist
- King of Prussia, PA (13 miles from Exton, PA)
- 30+ days ago
- King of Prussia, PA (13 miles from Exton, PA)
- 30+ days ago
Company Description Clean Earth is a leading provider of environmental services in the United States providing remediation, disposal, recycling, and beneficial reuse solutions for hazardous and...
Sr.Technology Risk and Compliance Associate
- Crum Lynne, PA (20 miles from Exton, PA)
- 30+ days ago
- Crum Lynne, PA (20 miles from Exton, PA)
- 30+ days ago
TransUnion's Job Applicant Privacy Notice Personal Information We Collect Your Privacy Choices What We'll Bring: At TransUnion, we strive to build an environment where our associates are in the...
Global Senior Governance, Risk, and Compliance Analyst
- King of Prussia, PA (13 miles from Exton, PA)
- 45+ days ago
- King of Prussia, PA (13 miles from Exton, PA)
- 45+ days ago
Requistion Number: 26210 When you work for AmeriGas, you become a part of something BIG! Founded in 1959, AmeriGas is the nations premiere propane company, serving over 1.5 million residential,...
Sr Regulatory Affairs Specialist
- Audubon, PA (15 miles from Exton, PA)
- 60+ days ago
- Audubon, PA (15 miles from Exton, PA)
- 60+ days ago
At Globus Medical, we move with a sense of urgency to deliver innovations that improve the quality of life of patients with musculoskeletal disorders. Our team is inspired by the needs of these...
- Bala Cynwyd, PA (21 miles from Exton, PA)
- 90+ days ago
- Bala Cynwyd, PA (21 miles from Exton, PA)
- 90+ days ago
Compliance Associate 3.8 3.8 out of 5 stars Bala-Cynwyd, PA Our Compliance team provides critical support to ensure that the firm operates within regulatory requirements. By joining our team, you...
Demographic Data for Exton, PA
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Salary for Compliance Analyst Jobs in Exton, PA
Required or preferred licenses and certifications for Compliance Analyst positions.
Highest Education Level
Compliance Analysts in Exton, PA offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Analyst position
- ISO Certified
- Retail
- Product Development
- Retail Banking
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Mortgage Lending
- Internal Audits
- Private Banking
- 21 CFR 820
- BSA
- Equities
- Derivatives
- Internal Control
- Wealth Management
- Fixed Income
- Capital Markets
- Securities and Exchange Commission
- Lending
- Financial Services
- Mortgage Processing
- Anti-Money Laundering
- Business Administration
- Accounts Receivable
- Finance
- Information Technology
- Reimbursement
- Accounting
- Risk Management
- Staffing
- Implementation
- Analytical Skills
- Payroll
- Auditing
- Investigation
- Collaboration
- Flexibility
- Reporting
- Documentation
- Bachelor's Degree
- Filing
- Regulations
- Policy Development
- Microsoft Office
- Problem Solving
- Microsoft Excel
- Research Skills
- Time Management
- Staff Supervision
- Organization
- Scheduling
- Leadership
- Communication Skills
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