Compliance Specialist Jobs
A Compliance Specialist in the finance industry is primarily responsible for ensuring that the organization adheres to a variety of regulations, laws, and professional standards. They monitor, evaluate and communicate the organization's compliance status with respect to these regulations. They often conduct regular audits, implement compliance strategies, and provide compliance training to employees. Some Compliance Specialists may also be involved in developing targeted risk assessment methodologies, carrying out specific risk assessments, and building risk management plans.
Important skills for a Compliance Specialist include strong analytical abilities, excellent attention to detail, and solid communication skills. Knowledge of regulatory laws and standards in the finance industry is crucial. Compliance Specialists should also be able to use auditing software and other tools. In terms of certification, Certified Regulatory Compliance Manager (CRCM) is a popular one, while Certified Anti-Money Laundering Specialist (CAMS) and Certified Financial Crime Specialist (CFCS) are also useful. Previous job roles for someone considering becoming a Compliance Specialist may include Compliance Analyst, Risk Analyst, or Regulatory Affairs Specialist.
Regulatory Compliance Analyst ( Med Supp ) / Med Supp Compliance Coordinator
- U-Haul - Oxford Life Insurance
- Phoenix, AZ
- 10 days ago
- U-Haul - Oxford Life Insurance
- Phoenix, AZ
- 10 days ago
The Regulatory Compliance Analyst supports the Compliance, Actuarial, and Finance teams in the administration of Med Supp rate filings, regulatory tracking, and policyholder communications. This...
Assist the Director of Compliance with developing, administering and maintaining the Bank's Compliance Management Program in order to ensure compliance with all consumer protection laws as well as...
Global Technology Risk and Compliance Analyst
- Rolling Meadows, IL
- 2 hours ago
- Rolling Meadows, IL
- 2 hours ago
Introduction Welcome to Gallagher – a global leader in insurance, risk management, and consulting services. With a growing team of more than 52,000 professionals worldwide, we empower businesses,...
Job Summary: The Compliance Associate ensures all DOT qualified employees are in compliance with FMCSA hours of service regulations. Essential Job Functions: Build and maintain driver profiles in...
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
- 2 hours ago
- Charlotte, NC
- 2 hours 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...
Regulatory Compliance Specialist Job Description Provide regulatory research, guidance, and compliance management to assist the company in proactively managing regulatory compliance across all aspects...
Regulatory Compliance Specialist Job Description Provide regulatory research, guidance, and compliance management to assist the company in proactively managing regulatory compliance across all aspects...
Description Major Responsibilities/Accountabilities:Regional Regulatory Affairs contact / facilitator for the fertilizer businesses in North America.Interfaces with regional Business Management,...
Compliance Associate II - 1st shift (Monday - Friday; 6:00am-2:30pm)
- Windsor, CO
- 2 hours ago
- Windsor, CO
- 2 hours ago
Core Hours: Monday - Friday; 6:00am-2:30pm Purpose and Scope The QA Compliance Associate II is responsible for providing the Quality Assurance review of manufacturing batch records in support of...
Description The Compliance Associate II reflects the mission, vision, and values of NM, adheres to the organizations Code of Ethics and Corporate Compliance Program, and complies with all relevant...
A large broker-dealer and registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and investment advisory...
Remote WorkAlternate Locations: Radnor, PA (Pennsylvania) Work Arrangement: Hybrid/Common Days+ : Work 2-3 days a week in a Lincoln office with a designated workspace. Relocation assistance: is not available...
Senior Compliance Coordinator - Education and Special Projects
- Iowa City, IA
- 5 hours ago
- Iowa City, IA
- 5 hours ago
University of Iowa Health Care's Joint Office for Compliance (JOC) seeks a Senior Compliance Coordinator - Education and Special Project to develop and deliver educational material related to...
STRATEGIC STAFFING SOLUTIONS (S3) HAS AN OPENING! Strategic Staffing Solutions is currently looking for an IT Risk and Compliance Analyst for a W2 contract opportunity with one of our largest...
Compliance Specialist Online Courses and Training Opportunities
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Salary for Compliance Specialist Jobs Nationwide
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Specialist position
- ISO Certified
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Internal Audits
- 21 CFR 820
- 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
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