Compliance Analyst Jobs in Carrollton, TX
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.
Portfolio Management Compliance Associate Plano, TX, USA
- Fisher Investments
- Plano, TX (11 miles from Carrollton, TX)
- 10 days ago
- Plano, TX (11 miles from Carrollton, TX)
- 10 days ago
The Opportunity: The Portfolio Management Compliance (PMC") Associate is responsible for helping to support Portfolio Management Compliance team tasks, requirements, and protocols within the...
RemoteDeputy Chief Compliance Officer, Broker Dealer Compliance
- Cetera Financial Group
- Dallas, TX (12 miles from Carrollton, TX)
- 10 days ago
- Dallas, TX (12 miles from Carrollton, TX)
- 10 days ago
The Deputy Chief Compliance Officer, Broker Dealers is responsible for supporting our Cetera Investment Services broker dealer and overseeing shared service functions performed on behalf of all...
HybridPortfolio Management Compliance Associate
- Fisher Investments
- Plano, TX (11 miles from Carrollton, TX)
- 12 days ago
- Plano, TX (11 miles from Carrollton, TX)
- 12 days ago
Overview The Opportunity: The Portfolio Management Compliance (PMC) Associate is responsible for helping to support Portfolio Management Compliance team tasks, requirements, and protocols within...
HybridSenior Regulatory Affairs Analyst
- Keurig Dr Pepper
- Frisco, TX (16 miles from Carrollton, TX)
- 20 days ago
- Frisco, TX (16 miles from Carrollton, TX)
- 20 days ago
Job Overview: Regulatory & Scientific Affairs is integral to bringing new products to market as quickly as possible while ensuring ingredients and packaging materials are safe for use in, or in...
In PersonGovernance, Risk & Compliance Analyst, Specialist
- Vanguard
- Dallas, TX (12 miles from Carrollton, TX)
- 22 days ago
- Dallas, TX (12 miles from Carrollton, TX)
- 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 PersonTreasury Risk and Compliance Associate
- DTCC Candidate Experience Site
- Coppell, TX (5 miles from Carrollton, TX)
- 23 days ago
- Coppell, TX (5 miles from Carrollton, TX)
- 23 days ago
View More Jobs Treasury Risk and Compliance Associate Jersey City, NJ, United States and 1 more Be the First to Apply Apply Now Job Info Job Identification 213592 Job Category Finance Posting Date...
Hybrid Full TimeSenior Regional Compliance Associate
- Farther
- Irving, TX (10 miles from Carrollton, TX)
- 26 days ago
- Irving, TX (10 miles from Carrollton, TX)
- 26 days ago
Senior Regional Compliance Associate Farther - 5.0 Irving, TX Job Details 1 hour ago Benefits Health insurance Unlimited paid time off 401(k) matching Qualifications Customer complaint resolution...
In PersonChief Compliance Officer, Green Pier
- Fidelity
- Dallas, TX (12 miles from Carrollton, TX)
- 28 days ago
- Dallas, TX (12 miles from Carrollton, TX)
- 28 days ago
Chief Compliance Officer, Green Pier Fintech The Role The Chief Compliance Officer (CCO) is a key member of the senior leadership team, responsible for providing strategic guidance on regulatory...
In PersonChief Compliance Officer - NLG Capital
- National Life Group
- Addison, TX (3 miles from Carrollton, TX)
- 60+ days ago
- Addison, TX (3 miles from Carrollton, TX)
- 60+ days ago
Come join one of America's fastest-growing insurance companies. Since 1848, National Life Group has aimed to keep our promises, providing families with stability in good times and in bad....
In Person- Morgan Stanley
- Dallas, TX (12 miles from Carrollton, TX)
- 60+ days ago
- Dallas, TX (12 miles from Carrollton, TX)
- 60+ days ago
We're seeking someone to join our team as a Vice President, Artificial Intelligence Compliance Officer in Wealth Management Compliance to provide second-line oversight, advisory support, and...
In PersonCorporate Income Tax Compliance Consultant (5 days onsite- Dallas)
- Resources Global Professionals
- Dallas, TX (12 miles from Carrollton, TX)
- 60+ days ago
- Dallas, TX (12 miles from Carrollton, TX)
- 60+ days ago
About This Role As a Tax Professional, you will assist our Clients with their U.S. Federal, State, and Local income tax compliance requirements for the tax year. In this role, you will lead and...
In PersonDemographic Data for Carrollton, TX
Moving to Carrollton, TX? Find some basic demographic data about Carrollton, TX below.
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Salary for Compliance Analyst Jobs in Carrollton, TX
Required or preferred licenses and certifications for Compliance Analyst positions.
Highest Education Level
Compliance Analysts in Carrollton, TX 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
- Wealth Management
- Securities and Exchange Commission
- BSA
- Derivatives
- Know Your Customer
- Audit Support
- 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
- Interpersonal Skills
- 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
- Time Management
- Leadership
- Communication Skills
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Here are some other career titles that require similar skills
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