Compliance Analyst Jobs in Oaks, 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.
Regulatory Compliance Specialist
- Blue Bell, PA (9 miles from Oaks, PA)
- 17 hours ago
- Blue Bell, PA (9 miles from Oaks, PA)
- 17 hours ago
Internal Reference Number: R1044888 Summary The Regulatory Compliance Specialist position is a part of Companion Life's Regulatory and Market Conduct Team within the Compliance Department. In this...
Sr Product Stewardship & Regulatory Affairs Specialist Job
- Radnor, PA (5 miles from Oaks, PA)
- 2 days ago
- Radnor, PA (5 miles from Oaks, PA)
- 2 days ago
In conjunction with the Specialty Surfactants Business Unit (BU) for which the position is responsible, manage activities to assure compliance with legal and corporate product stewardship and...
- Philadelphia, PA (19 miles from Oaks, PA)
- 3 days ago
- Philadelphia, PA (19 miles from Oaks, PA)
- 3 days ago
Essential Functions and Responsibilities: + Governance Assist in the development, implementation, and maintenance of governance policies, procedures, and frameworks. Conduct regular assessments of...
Global Senior Governance, Risk, and Compliance Analyst (King Of Prussia, PA, US, 19406)
- King of Prussia, PA (4 miles from Oaks, PA)
- 4 days ago
- King of Prussia, PA (4 miles from Oaks, PA)
- 4 days ago
Requistion Number: 26210 When you work for AmeriGas, you become a part of something BIG! Founded in 1959, AmeriGas is the nation's premiere propane company, serving over 1.5 million residential,...
- Lafayette Hill, PA (11 miles from Oaks, PA)
- 5 days ago
- Lafayette Hill, PA (11 miles from Oaks, PA)
- 5 days ago
Are you looking for an opportunity to advance your career while working with an extraordinary team? At Merakey, we put heart and soul into everything we do. We are seeking a Compliance Auditor to...
- Glen Mills, PA (15 miles from Oaks, PA)
- 10 days ago
- Glen Mills, PA (15 miles from Oaks, PA)
- 10 days 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 (7 miles from Oaks, PA)
- 15 days ago
- Malvern, PA (7 miles from Oaks, PA)
- 15 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...
U.S. Anti-Money Laundering Compliance Officer
- Malvern, PA (7 miles from Oaks, PA)
- 22 days ago
- Malvern, PA (7 miles from Oaks, PA)
- 22 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,...
Senior Regulatory Compliance Analyst
- Philadelphia, PA (19 miles from Oaks, PA)
- 28 days ago
- Philadelphia, PA (19 miles from Oaks, PA)
- 28 days ago
Provides legal guidance and counsel related to securities and banking regulatory matters. Staff maintains relationships with regulatory bodies and agencies and has significant expertise in...
Analyst, Compliance & Product Support
- Exton, PA (11 miles from Oaks, PA)
- 30+ days ago
- Exton, PA (11 miles from Oaks, PA)
- 30+ days ago
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 (5 miles from Oaks, PA)
- 30+ days ago
- Radnor, PA (5 miles from Oaks, PA)
- 30+ 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 (5 miles from Oaks, PA)
- 30+ days ago
- Radnor, PA (5 miles from Oaks, PA)
- 30+ 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 (5 miles from Oaks, PA)
- 30+ days ago
- Radnor, PA (5 miles from Oaks, PA)
- 30+ days ago
funds, in addition to Lincoln's annuity, insurance, and retirement plan products....
Compliance Consultant, Advertising Review - Private Market Funds
- Radnor, PA (5 miles from Oaks, PA)
- 30+ days ago
- Radnor, PA (5 miles from Oaks, PA)
- 30+ days ago
funds, in addition to Lincolns annuity, insurance, and retirement plan products....
NCI/NCTN Regulatory Affairs Specialist Senior (Abramson Cancer Center) (Remote Eligible)
- Philadelphia, PA (19 miles from Oaks, PA)
- 45+ days ago
- Philadelphia, PA (19 miles from Oaks, PA)
- 45+ days ago
NCI/NCTN Regulatory Affairs Specialist Senior (Abramson Cancer Center) (Remote Eligible) University Overview The University of Pennsylvania, the largest private employer in Philadelphia, is a...
Remote WorkDemographic Data for Oaks, PA
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Salary for Compliance Analyst Jobs in Oaks, PA
Required or preferred licenses and certifications for Compliance Analyst positions.
Highest Education Level
Compliance Analysts in Oaks, PA offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Analyst position
- Retail
- Retail Banking
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Gmail
- Mortgage Lending
- Offer Letters
- Annuities
- Commercial Banking
- 21 CFR 820
- Tax Accounting
- Operations Analysis
- Internal Control
- Equities
- Derivatives
- BSA
- Management Reporting
- Wealth Management
- Fixed Income
- Securities and Exchange Commission
- Lending
- Financial Services
- Anti-Money Laundering
- Mortgage Processing
- Fraud Investigation
- Fundraising
- Business Administration
- Finance
- Information Technology
- Reimbursement
- Accounting
- Risk Management
- Implementation
- Analytical Skills
- Payroll
- Auditing
- Verbal Communication
- Collaboration
- Flexibility
- Reporting
- Documentation
- Filing
- Bachelor's Degree
- Regulations
- Policy Development
- Microsoft Office
- Project Management
- Problem Solving
- Microsoft Excel
- Sales
- Research Skills
- Time Management
- Staff Supervision
- Organization
- Scheduling
- Leadership
- Communication Skills
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Here are some other career titles that require similar skills
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