Compliance Specialist Jobs in Stamford, CT
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.
- Greenwich, CT (4 miles from Stamford, CT)
- 11 hours ago
- Greenwich, CT (4 miles from Stamford, CT)
- 11 hours ago
Connecticut based private equity firm is looking for a Chief Compliance Officer to oversee their compliance program. Ideal candidate holds a juris doctor and has held previous leadership positions...
Regulatory and Compliance Analyst
- New Canaan, CT (7 miles from Stamford, CT)
- 6 days ago
- New Canaan, CT (7 miles from Stamford, CT)
- 6 days ago
Job Description: Regulatory and Compliance Analyst is needed to perform the following duties: Coordinate and document Internal Regulatory processes such as Internal Audits, Registrations, License...
- Bethpage, NY (21 miles from Stamford, CT)
- 7 days ago
- Bethpage, NY (21 miles from Stamford, CT)
- 7 days ago
Regulatory Affairs Analyst When a group of families came together in 1957 to find services for their children with developmental disabilities, ACLD was born. Today, we are a leading not-for-profit...
Compliance Associate Electronic Trading ComplianceNew Greenwich, CT
- Greenwich, CT (4 miles from Stamford, CT)
- 14 days ago
- Greenwich, CT (4 miles from Stamford, CT)
- 14 days ago
Compliance Associate - Electronic Trading Compliance at Interactive Brokers Greenwich, CT Company Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company...
Compliance Officer - Quant Trading
- Old Greenwich, CT (2 miles from Stamford, CT)
- 14 days ago
- Old Greenwich, CT (2 miles from Stamford, CT)
- 14 days ago
Compliance Officer - Quant Trading Position Details Provide ongoing compliance advisory to the Firm's largest portfolio manager Address system structuring questions and trading matters related to...
Compliance Associate - Electronic Trading Compliance
- Greenwich, CT (4 miles from Stamford, CT)
- 15 days ago
- Greenwich, CT (4 miles from Stamford, CT)
- 15 days ago
Company Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the...
Principal Regulatory Affairs Specialist
- Trumbull, CT (22 miles from Stamford, CT)
- 30+ days ago
- Trumbull, CT (22 miles from Stamford, CT)
- 30+ days ago
About this position At Henkel, you'll be part of an organization that's shaping the future through innovation, sustainability and collaboration. With our trusted brands like Persil, all, Loctite,...
Associate Fund Compliance Administrator
- Hauppauge, NY (23 miles from Stamford, CT)
- 60+ days ago
- Hauppauge, NY (23 miles from Stamford, CT)
- 60+ days ago
Experience working within the financial services and/or the mutual funds industry. KNOWLEDGE Automated post-trade compliance system. Microsoft Office Suite. Adobe Acrobat....
- Trumbull, CT (22 miles from Stamford, CT)
- 90+ days ago
- Trumbull, CT (22 miles from Stamford, CT)
- 90+ days ago
About CooperSurgical CooperSurgical is a leading fertility and women's healthcare company dedicated to putting time on the side of women, babies, and families at the healthcare moments that matter...
Demographic Data for Stamford, CT
Moving to Stamford, CT? Find some basic demographic data about Stamford, CT below.
Compliance Specialist Online Courses and Training Opportunities
Title Synonyms
Users interested in this job title also searched for the following job title
Salary for Compliance Specialist Jobs in Stamford, CT
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Stamford, CT offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Specialist position
- ISO Certified
- Retail
- Product Development
- Retail Banking
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Mortgage Lending
- Internal Audits
- Private Banking
- 21 CFR 820
- BSA
- Equities
- Derivatives
- Internal Control
- Wealth Management
- Fixed Income
- Capital Markets
- Securities and Exchange Commission
- Lending
- Financial Services
- Mortgage Processing
- Anti-Money Laundering
- Business Administration
- Accounts Receivable
- Finance
- Information Technology
- Reimbursement
- Accounting
- Risk Management
- Staffing
- Implementation
- Analytical Skills
- Payroll
- Auditing
- Investigation
- Collaboration
- Flexibility
- Reporting
- Documentation
- Bachelor's Degree
- Filing
- Regulations
- Policy Development
- Microsoft Office
- Problem Solving
- Microsoft Excel
- Research Skills
- Time Management
- Staff Supervision
- Organization
- Scheduling
- Leadership
- Communication Skills
Other Career Titles
Here are some other career titles that require similar skills
Compliance Specialist Related Career Advice Articles
5 Types of Finance Jobs: Which Is the Best Fit?
Wondering if a finance job is right for you? Check out our guide to finance careers and learn more about working in finance.
Read article »
Impress Employers with These Finance Certifications
For professionals in the financial services industry, certifications can mean the difference between thriving or just surviving. Find out which certification would be best for you.
Read article »