Compliance Specialist Jobs in Englewood, NJ
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.
Advisory Compliance Officer - Fixed Income Business Line Compliance
- New York, NY (9 miles from Englewood, NJ)
- 12 days ago
- New York, NY (9 miles from Englewood, NJ)
- 12 days ago
Advisory Compliance Officer - Fixed Income Business Line ComplianceCountry: United States of America Your Journey Starts Here: Santander is a global leader and innovator in the financial services...
Quality and Regulatory Affairs Specialist-Mount Sinai Brooklyn - Full-time
- New York, NY (9 miles from Englewood, NJ)
- 3 days ago
- New York, NY (9 miles from Englewood, NJ)
- 3 days ago
Description The Quality and Regulatory Specialist facilitates and participates in the implementation of the multidisciplinary hospital and system wide Clinical Quality and Patient Safety...
AML Transaction Monitoring Analyst - Compliance - New York, New York, United States
- New York, NY (9 miles from Englewood, NJ)
- 4 days ago
- New York, NY (9 miles from Englewood, NJ)
- 4 days ago
Responsibilities The candidate will be responsible for reviewing alerts of potentially suspicious activity generated via the Bank's automated transaction monitoring system; closes or escalates...
Quality and Regulatory Affairs Specialist-Mount Sinai Brooklyn - Full-time
- Brooklyn, NY (13 miles from Englewood, NJ)
- 4 days ago
- Brooklyn, NY (13 miles from Englewood, NJ)
- 4 days ago
The Quality and Regulatory Specialist facilitates and participates in the implementation of the multidisciplinary hospital and system wide Clinical Quality and Patient Safety Performance...
Compliance Officer - Swap Advisory
- New York, NY (9 miles from Englewood, NJ)
- 5 days ago
- New York, NY (9 miles from Englewood, NJ)
- 5 days ago
Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and...
- New York, NY (9 miles from Englewood, NJ)
- 5 days ago
- New York, NY (9 miles from Englewood, NJ)
- 5 days ago
About the Role: Grade Level (for internal use): 10 About the Role/The Team: We are seeking an additional team member to support the implementation of regulatory action plans in the Americas,...
Quality Assurance and Regulatory Affairs Specialist
- Bogota, NJ (3 miles from Englewood, NJ)
- 6 days ago
- Bogota, NJ (3 miles from Englewood, NJ)
- 6 days ago
Quality Assurance and Regulatory Affairs Specialist Description The Quality Assurance and Regulatory Affairs Specialist will be responsible for supporting local Quality and Regulatory strategies,...
Analyst-Compliance, Global Financial Crimes Compliance, Product Approval
- New York, NY (9 miles from Englewood, NJ)
- 7 days ago
- New York, NY (9 miles from Englewood, NJ)
- 7 days ago
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and...
IT Risk and Compliance Analyst
- New York, NY (9 miles from Englewood, NJ)
- 8 days ago
- New York, NY (9 miles from Englewood, NJ)
- 8 days ago
IT Risk and Compliance Analyst NYC or Chicago Hybrid 2 days Onsite Job Description: Must Have: Strong communication skills to all levels, with previous experience of writing reports for senior...
Advisory Compliance Officer - Fixed Income Business Line Compliance. Job in New York Gr8Jobs
- New York, NY (9 miles from Englewood, NJ)
- 8 days ago
- New York, NY (9 miles from Englewood, NJ)
- 8 days ago
Advisory Compliance Officer - Fixed Income Business Line ComplianceCountry: United States of America Your Journey Starts Here: Santander is a global leader and innovator in the financial services...
Compliance Officer Broker-Dealer
- New York, NY (9 miles from Englewood, NJ)
- 9 days ago
- New York, NY (9 miles from Englewood, NJ)
- 9 days ago
This is a high-impact role within a small team focused on equity research distribution for institutional clients....
- New York, NY (9 miles from Englewood, NJ)
- 9 days ago
- New York, NY (9 miles from Englewood, NJ)
- 9 days ago
Compliance Associate 3.6 3.6 out of 5 stars New York, NY 10018 Hybrid work Position Summary This position reports to the Associate General Counsel/Compliance Officer and is part of the Legal and...
IT Risk and Compliance Analyst in New York, NY/ Chicago, IL office at least 2 days a week
- New York, NY (9 miles from Englewood, NJ)
- 11 days ago
- New York, NY (9 miles from Englewood, NJ)
- 11 days ago
Must Haves Strong communication skills to all levels, with previous experience of writing reports for senior staff Experience of ITIL Project Management experience Degree in technology-based...
Data Quality Compliance Officer
- New York, NY (9 miles from Englewood, NJ)
- 11 days ago
- New York, NY (9 miles from Englewood, NJ)
- 11 days ago
Data Quality Vice President Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management...
Compliance Associate Broker-Dealer
- New York, NY (9 miles from Englewood, NJ)
- 12 days ago
- New York, NY (9 miles from Englewood, NJ)
- 12 days ago
This is a high-impact role within a small team focused on equity research distribution for institutional clients....
Demographic Data for Englewood, NJ
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Salary for Compliance Specialist Jobs in Englewood, NJ
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Englewood, NJ offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Specialist position
- ISO Certified
- Product Development
- Corrective Actions & Preventive Actions
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Internal Audits
- Private Banking
- 21 CFR 820
- Equity Research
- Operations Analysis
- BSA
- Internal Control
- Equities
- Derivatives
- Management Reporting
- Fixed Income
- Capital Markets
- Securities and Exchange Commission
- Cross-Functional Team Management
- Financial Services
- Anti-Money Laundering
- Business Processes
- Business Administration
- Finance
- Reimbursement
- Accounting
- Vendor Management
- Risk Management
- Strategy Development
- Decision Making
- Implementation
- Auditing
- Consulting
- Written Communication
- Investigation
- Verbal Communication
- Mentoring
- Interpersonal Skills
- Data Analysis
- Collaboration
- Flexibility
- Reporting
- Documentation
- Filing
- Bachelor's Degree
- Regulations
- Microsoft PowerPoint
- Policy Development
- Microsoft Office
- Project Management
- Problem Solving
- Sales
- Microsoft Excel
- Research Skills
- Staff Supervision
- Organization
- Scheduling
- Leadership
- Communication Skills
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