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.
Associate Fund Compliance Administrator
- Hauppauge, NY (23 miles from Stamford, CT)
- 2 days ago
- Hauppauge, NY (23 miles from Stamford, CT)
- 2 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....
Associate Compliance Officer (ACO) Clinical Audit Quality an
- Danbury, CT (22 miles from Stamford, CT)
- 11 days ago
- Danbury, CT (22 miles from Stamford, CT)
- 11 days ago
Associate Compliance Officer (ACO) Clinical Audit Quality an Location: Danbury, CT, United States Salary Range: 33.66 - 67.05 Work Type: Full-Time Standard Hours: 40 FTE: Exempt Work Schedule: Day...
Regulatory Compliance Specialist
- Farmingdale, NY (22 miles from Stamford, CT)
- 22 days ago
- Farmingdale, NY (22 miles from Stamford, CT)
- 22 days ago
Coordinate the current Good Manufacturing Practice (cGMP) compliance efforts for pharmaceutical manufacturing & packaging process related to solid oral dosage forms.Develop a compliance plan by...
About Northern Trust: Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. Northern Trust is proud...
- Trumbull, CT (22 miles from Stamford, CT)
- 60+ days ago
- Trumbull, CT (22 miles from Stamford, CT)
- 60+ 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...
Trexquant Investment Chief Compliance Officer (USA) in Stamford , Connecticut Trexquant is a tech-driven systematic fund manager leveraging machine learning and quantitative strategies for global...
At First County Bank, You + We =Team YOU - Bring your talent, hunger to learn and desire to grow. WE - Will provide you with the training and experience you need to become a Trusted Advisor to...
Wealth Services Compliance Coordinator
- Hicksville, NY (20 miles from Stamford, CT)
- 45+ days ago
- Hicksville, NY (20 miles from Stamford, CT)
- 45+ days ago
Position Title Wealth Services Compliance Coordinator Location Hicksville, NY 11801 Job Summary The Wealth Services Back-Office provides certain administrative functions to support front-line...
- Hicksville, NY (20 miles from Stamford, CT)
- 90+ days ago
- Hicksville, NY (20 miles from Stamford, CT)
- 90+ days ago
Position Title Regulatory Affairs Analyst Sr Location Hicksville, NY 11801 Job Summary A Senior Regulatory Relations Analyst, brings regulatory subject matter expertise to the firm and works under...
Demographic Data for Stamford, CT
Moving to Stamford, CT? Find some basic demographic data about Stamford, CT below.
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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
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Internal Audits
- 21 CFR 820
- Mutual Funds
- 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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