Compliance Specialist Jobs in Holmdel, 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.
- New York City, NY (24 miles from Holmdel, NJ)
- 2 days ago
- New York City, NY (24 miles from Holmdel, NJ)
- 2 days ago
Are you passionate about democratizing alternative investments? Do you enjoy meaningful work that has a noticeable impact on business performance?...
Compliance Officer, Trade Surveillance
- New York City, NY (24 miles from Holmdel, NJ)
- 9 days ago
- New York City, NY (24 miles from Holmdel, NJ)
- 9 days ago
Position Summary: The Compliance Officer - Trade Surveillance at FalconX will be responsible for monitoring and investigating trading activities to detect and prevent market manipulation and other...
Guided by our company Purpose of Inspiring well-being for our colleagues, consumers, and communities, we are committed to building a best-in-class Law Department. We drive a high-performance...
Compliance Officer, Assistant Vice President
- New York City, NY (24 miles from Holmdel, NJ)
- 10 days ago
- New York City, NY (24 miles from Holmdel, NJ)
- 10 days ago
What we do: First Eagle Investments is an independent, privately owned investment management firm headquartered in New York with approximately $161 billion in assets under management as of June...
- Piscataway, NJ (19 miles from Holmdel, NJ)
- 11 days ago
- Piscataway, NJ (19 miles from Holmdel, NJ)
- 11 days ago
Description: The Regulatory Affairs Specialist assists in the preparation, review and submission of high quality, regulatory submissions such to the Food and Drug Administration (FDA) and other...
Inter Company Regulatory Compliance Officer
- Jersey City, NJ (24 miles from Holmdel, NJ)
- 17 days ago
- Jersey City, NJ (24 miles from Holmdel, NJ)
- 17 days ago
Job Description What is the Opportunity? We're looking for a highly motivated and experienced Associate Director, Intercompany Compliance to oversee and administer Horizontal Prudential Compliance...
Senior Compliance Associate, Policies & Procedures
- Jersey City, NJ (24 miles from Holmdel, NJ)
- 22 days ago
- Jersey City, NJ (24 miles from Holmdel, NJ)
- 22 days ago
The Role The Senior Compliance Associate, Policies and Procedures, will play a critical role in working closely with business counterparts to develop and maintain compliance policies and...
Food Safety & Regulatory Compliance Specialist
- Cranford, NJ (20 miles from Holmdel, NJ)
- 25 days ago
- Cranford, NJ (20 miles from Holmdel, NJ)
- 25 days ago
The role: The Food Safety & Regulatory Compliance Specialist in the food industry is responsible for policy creation and implementation of the programs for food safety, and to ensure compliance of regulatory...
VP, AML Financial Crimes Deputy Compliance Officer
- Jersey City, NJ (24 miles from Holmdel, NJ)
- 26 days ago
- Jersey City, NJ (24 miles from Holmdel, NJ)
- 26 days ago
The AML Compliance Group is responsible for the coordination of the Firm's AML Program and is the Firm's primary contact for regulatory agencies and Firm employees regarding issues related to the...
Vice President - Senior Swap Dealer Compliance Officer
- Jersey City, NJ (24 miles from Holmdel, NJ)
- 29 days ago
- Jersey City, NJ (24 miles from Holmdel, NJ)
- 29 days ago
Business Overview: The Global Banking Regulations ("GBR") group is a Compliance global team covering Structural Banking Reform (CFTC Swap Dealer, SEC Security-Based Swap Dealer, French Banking...
Director, Markets Compliance Officer
- New York City, NY (24 miles from Holmdel, NJ)
- 45+ days ago
- New York City, NY (24 miles from Holmdel, NJ)
- 45+ days ago
Requisition ID: 225527 Salary Range: 180,000.00 - 301,500.00 Please note that the Salary Range shown is a guideline only. Salary offered may vary based on factors, including, but not limited to,...
- New York City, NY (24 miles from Holmdel, NJ)
- 45+ days ago
- New York City, NY (24 miles from Holmdel, NJ)
- 45+ days ago
Job Description: Position Summary Guggenheim Securities is seeking a motivated compliance professional to assist its Compliance Team. The successful candidate will assist a highly collaborative...
- New York City, NY (24 miles from Holmdel, NJ)
- 60+ days ago
- New York City, NY (24 miles from Holmdel, NJ)
- 60+ days ago
Job Details: Corporate Compliance Analyst Join a world-class team that is at the forefront of advancing technology for the benefit of humanity....
Control Room & Employee Compliance Officer
- Jersey City, NJ (24 miles from Holmdel, NJ)
- 90+ days ago
- Jersey City, NJ (24 miles from Holmdel, NJ)
- 90+ days ago
Who We Are At Corebridge Financial, we believe action is everything. That's why every day we partner with financial professionals and institutions to make it possible for more people to take...
Demographic Data for Holmdel, NJ
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Salary for Compliance Specialist Jobs in Holmdel, NJ
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Holmdel, NJ 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
- 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
- Asset Management
- 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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