Compliance Specialist Jobs in Pleasanton, CA
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.
Principal Risk & Compliance Analyst
- Oakland, CA (21 miles from Pleasanton, CA)
- 9 hours ago
- Oakland, CA (21 miles from Pleasanton, CA)
- 9 hours ago
Requisition ID # 166909 Job Category: Compliance / Risk / Quality Assurance Job Level: Manager/Principal Business Unit: Gen Counsel, Ethics, Risk & Compliance Work Type: Hybrid Job Location:...
Senior Regulatory Affairs Specialist - International
- Palo Alto, CA (21 miles from Pleasanton, CA)
- 1 day ago
- Palo Alto, CA (21 miles from Pleasanton, CA)
- 1 day ago
Company Description Guardant Health is a leading precision oncology company focused on guarding wellness and giving every person more time free from cancer. Founded in 2012, Guardant is...
Regulatory Affairs Specialist 3
- Sunnyvale, CA (19 miles from Pleasanton, CA)
- 4 days ago
- Sunnyvale, CA (19 miles from Pleasanton, CA)
- 4 days ago
Company Description At Intuitive, we are united behind our mission: we believe that minimally invasive care is life-enhancing care. Through ingenuity and intelligent technology, we expand the...
Sr. Regulatory Affairs Specialist
- San Jose, CA (20 miles from Pleasanton, CA)
- 15 days ago
- San Jose, CA (20 miles from Pleasanton, CA)
- 15 days ago
Be part of something bigger! BD is one of the largest global medical technology companies in the world and is advancing the world of health by improving medical discovery, diagnostics, and the...
Principal Regulatory Affairs Specialist
- San Jose, CA (20 miles from Pleasanton, CA)
- 17 days ago
- San Jose, CA (20 miles from Pleasanton, CA)
- 17 days ago
Company Overview Embark on an enriching journey with PROCEPT BioRobotics, where our vision, mission, and values guide everything we do as a company. We are committed to revolutionizing treatment...
Quality Compliance Coordinator
- Palo Alto, CA (21 miles from Pleasanton, CA)
- 30+ days ago
- Palo Alto, CA (21 miles from Pleasanton, CA)
- 30+ days ago
Join us in pioneering breakthroughs in healthcare. For everyone. Everywhere. Sustainably. Our inspiring and caring environment forms a global community that celebrates diversity and individuality....
SAP S/4HANA Deployment Financial Compliance Specialist- Authorizations ( 2 years fixed term)
- San Jose, CA (20 miles from Pleasanton, CA)
- 30+ days ago
- San Jose, CA (20 miles from Pleasanton, CA)
- 30+ days ago
At Roche you can show up as yourself, embraced for the unique qualities you bring. Our culture encourages personal expression, open dialogue, and genuine connections, where you are valued,...
Senior Regulatory Affairs Specialist
- Redwood City, CA (24 miles from Pleasanton, CA)
- 45+ days ago
- Redwood City, CA (24 miles from Pleasanton, CA)
- 45+ days ago
Pulmonx is looking for a Sr Regulatory Affairs Specialist to join our team supporting all regulatory aspects of our groundbreaking medical devices. Your expertise will be crucial in ensuring that...
- Palo Alto, CA (21 miles from Pleasanton, CA)
- 45+ days ago
- Palo Alto, CA (21 miles from Pleasanton, CA)
- 45+ days ago
Mudflap serves the $800B trucking industry, the backbone of the U.S. economy. Our market-leading payment products help truckers save thousands of dollars on fuel (their #1 business expense), while...
Ant Group-US Sanctions Compliance Officer-Sunnyvale CA
- Sunnyvale, CA (19 miles from Pleasanton, CA)
- 45+ days ago
- Sunnyvale, CA (19 miles from Pleasanton, CA)
- 45+ days ago
Ant Star Ant Group-US Sanctions Compliance Officer-Sunnyvale CA Risk Management-Risk Strategy Operation Basic information Location: Sunnyvale Working years: More than 5 years Department: Ant Group...
Regulatory Affairs Specialist - Pleasanton, CA
- Pleasanton, CA
- 60+ days ago
- Pleasanton, CA
- 60+ days ago
Calyxo, Inc. is a medical device company headquartered in Pleasanton, California, USA. The company was founded in 2016 to address the profound need for improved kidney stone treatment. Kidney...
Senior Regulatory Affairs Specialist Vascular (on-site)
- Santa Clara, CA (21 miles from Pleasanton, CA)
- 90+ days ago
- Santa Clara, CA (21 miles from Pleasanton, CA)
- 90+ days ago
Abbott is a global healthcare leader that helps people live more fully at all stages of life. Our portfolio of life-changing technologies spans the spectrum of healthcare, with leading businesses...
Regulatory Affairs Specialist - (NMPA/CFDA)
- Sunnyvale, CA (19 miles from Pleasanton, CA)
- 90+ days ago
- Sunnyvale, CA (19 miles from Pleasanton, CA)
- 90+ days ago
Company Description At Intuitive, we are united behind our mission: we believe that minimally invasive care is life-enhancing care. Through ingenuity and intelligent technology, we expand the...
Demographic Data for Pleasanton, CA
Moving to Pleasanton, CA? Find some basic demographic data about Pleasanton, CA below.
Compliance Specialist Online Courses and Training Opportunities
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Salary for Compliance Specialist Jobs in Pleasanton, CA
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Pleasanton, CA offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Specialist position
- Engineering
- ISO Certified
- Product Development
- Medical Device Sales
- FDA Regulations
- ISO 13485
- ICH Guidelines
- Private Banking
- 21 CFR 820
- Equity Research
- Alternative Investments
- Mutual Funds
- Equities
- Derivatives
- Internal Control
- BSA
- Fixed Income
- Capital Markets
- Investment Banking
- Securities and Exchange Commission
- Lending
- Investment Management
- Financial Services
- Sarbanes-Oxley Compliance
- Anti-Money Laundering
- Mortgage Processing
- Due Diligence
- Finance
- Reimbursement
- Risk Management
- Strategy Development
- Accounting
- Implementation
- Analytical Skills
- Auditing
- Written Communication
- Documentation
- Mentoring
- Verbal Communication
- Investigation
- Reporting
- Collaboration
- Flexibility
- Interpersonal Skills
- Filing
- Bachelor's Degree
- Microsoft PowerPoint
- Policy Development
- Project Management
- Regulations
- Problem Solving
- Microsoft Excel
- Microsoft Office
- Sales
- Research Skills
- Time Management
- Staff Supervision
- Organization
- Customer Service
- Scheduling
- Leadership
- Communication Skills
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