Compliance Analyst Jobs in Richardson, 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.
Governance, Risk, and Compliance Associate - Asset Management Consulting
- Dallas, TX (12 miles from Richardson, TX)
- 3 days ago
- Dallas, TX (12 miles from Richardson, TX)
- 3 days ago
The Weaver Experience Weaver is a full-service national accounting, advisory and consulting firm with opportunities for professionals in many different fields. We seek to bring a human element to...
- Irving, TX (16 miles from Richardson, TX)
- 5 days ago
- Irving, TX (16 miles from Richardson, TX)
- 5 days ago
Why GM Financial? GM Financial promotes an inclusive Culture to Win that is centered around leading with core values, empowering team members, and accomplishing strategic priorities while...
- Dallas, TX (12 miles from Richardson, TX)
- 9 days ago
- Dallas, TX (12 miles from Richardson, TX)
- 9 days ago
MORE ABOUT THIS SKILLSET Manage the firm's compliance, regulatory and reputational risks by ensuring adherence to laws, rules and regulations. Our colleagues in Global Compliance are responsible...
Airworthiness/Regulatory Compliance Specialist (Integrated Management System/IMS)
- Dallas, TX (12 miles from Richardson, TX)
- 12 days ago
- Dallas, TX (12 miles from Richardson, TX)
- 12 days ago
MTU Maintenance Dallas is part of the world's largest independent jet engine MRO company based in Germany providing aftermarket and OEM-licensed engine maintenance services worldwide. As a part of...
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- Dallas, TX (12 miles from Richardson, TX)
- 13 days ago
- Dallas, TX (12 miles from Richardson, TX)
- 13 days ago
Overview Looking for something different? We ARE that something different at RPM Living. Dynamic and fast growth culture and multiple nationwide opportunities let YOU shape your future with us....
Compliance, Wealth Management Compliance - Associate - Dallas
- Dallas, TX (12 miles from Richardson, TX)
- 13 days ago
- Dallas, TX (12 miles from Richardson, TX)
- 13 days ago
GLOBAL COMPLIANCE Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance...
Compliance Officer, Branch Examiner
- Dallas, TX (12 miles from Richardson, TX)
- 13 days ago
- Dallas, TX (12 miles from Richardson, TX)
- 13 days ago
M Financial Group is a community of leaders comprising the best and brightest minds in our industry. By combining individuals' expertise and skill, M Financial Group has become a powerful force...
Compliance Associate - Dallas, TX!
- Dallas, TX (12 miles from Richardson, TX)
- 16 days ago
- Dallas, TX (12 miles from Richardson, TX)
- 16 days ago
Compliance Associate A well-established broker-dealer is looking for a proactive and detail-oriented Compliance Associate to join their team. This role involves working independently and taking...
Regional FSTDO Standards & Regulatory Compliance Specialist
- Dallas, TX (12 miles from Richardson, TX)
- 22 days ago
- Dallas, TX (12 miles from Richardson, TX)
- 22 days ago
About This Role Support the FSTDO Standards & Compliance Manager in work related to ensuring FSTDO standards and regulatory compliance for the assigned region, responsibilities include but not...
Risk Compliance Officer II - Compliance Testing
- Dallas, TX (12 miles from Richardson, TX)
- 23 days ago
- Dallas, TX (12 miles from Richardson, TX)
- 23 days ago
Location: On site in Memphis, TN, Johnson City, TN, Orlando, FL, Miami Lakes, FL, Asheboro, NC, Knoxville, TN, Longwood, FL, Birmingham, AL Summary The primary responsibility of this position is...
At HCSC, our employees are the cornerstone of our business and the foundation to our success. We empower employees with curated development plans that foster growth and promote rewarding,...
Broker Dealer Compliance Associate
- Dallas, TX (12 miles from Richardson, TX)
- 30+ days ago
- Dallas, TX (12 miles from Richardson, TX)
- 30+ days ago
About Altruist Altruist is the modern custodian built exclusively for independent financial advisors that combines a self-clearing brokerage firm with intuitive software for account opening,...
Job Type Full-time Description Position Purpose and Objectives The Mortgage Compliance Officer is responsible for helping ensure that the Credit Union's mortgage lending activities comply with all...
- Dallas, TX (12 miles from Richardson, TX)
- 45+ days ago
- Dallas, TX (12 miles from Richardson, TX)
- 45+ days ago
About Altruist Altruist is the modern custodian built exclusively for independent financial advisors that combines a self-clearing brokerage firm with intuitive software for account opening,...
Asset & Wealth Management, Private Bank, Governance and Regulatory Affairs, Analyst - Dallas
- Dallas, TX (12 miles from Richardson, TX)
- 45+ days ago
- Dallas, TX (12 miles from Richardson, TX)
- 45+ days ago
YOUR IMPACT As a member of the Private Banks Governance and Regulatory Affairs team (the "GRA team"), you will play a key role in a growing business, where you will be part of a team that builds,...
Demographic Data for Richardson, TX
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Salary for Compliance Analyst Jobs in Richardson, TX
Required or preferred licenses and certifications for Compliance Analyst positions.
Highest Education Level
Compliance Analysts in Richardson, TX 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
- Mortgage Lending
- Private Banking
- 21 CFR 820
- Mutual Funds
- BSA
- Equities
- Derivatives
- Wealth Management
- Internal Control
- Fixed Income
- Investment Banking
- Capital Markets
- Securities and Exchange Commission
- Lending
- Financial Services
- Anti-Money Laundering
- Mortgage Processing
- Finance
- Business Administration
- Accounts Receivable
- Information Technology
- Reimbursement
- Accounting
- Risk Management
- Staffing
- Analytical Skills
- Implementation
- Payroll
- Auditing
- Investigation
- Verbal Communication
- Collaboration
- Documentation
- Bachelor's Degree
- Filing
- Reporting
- Regulations
- Sales
- Policy Development
- Microsoft Office
- Problem Solving
- Microsoft Excel
- Research Skills
- Time Management
- Staff Supervision
- Organization
- Leadership
- Communication Skills
Other Career Titles
Here are some other career titles that require similar skills
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