Compliance Specialist Jobs in New York, NY
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.
Job Description About Acrisure A global fintech leader, Acrisure empowers millions of ambitious businesses and individuals with the right solutions to grow boldly forward. Bringing cutting-edge...
Senior Regulatory Affairs Specialist Company Description At Butterfly Network, we're leading a digital revolution in medical imaging, transforming an industry that has long relied on bulky, analog...
- New York City, NY (2 miles from New York, NY)
- 1 day ago
- New York City, NY (2 miles from New York, NY)
- 1 day ago
Are you passionate about democratizing alternative investments? Do you enjoy meaningful work that has a noticeable impact on business performance?...
About Rockefeller Capital Management Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family...
LICENSING COMPLIANCE CONSULTANT IN NEW YORK, NY, USA! Date Posted: 07/30/2025 Hiring Organization: Rose International Position Number: 486298 Industry: Media and Entertainment Job Title: Licensing...
We are seeking a talented individual to join our Compliance team at Mercer. This role will be based in New York. This is a hybrid role that has a requirement of working at least three days a week...
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...
Ensure the company complies with requirements related to insurance and investment activities, including alternative investments, private placements, and structured products....
Make banking a Fifth Third better We connect great people to great opportunities. Are you ready to take the next step? Discover a career in banking at Fifth Third Bank. GENERAL FUNCTION:...
Compliance Associate New York, NY Posted: 08/04/2025 Employment Type: Temporary Job Title: Various Temp Jobs Pay Rate: $65/hour Job Description Our client is looking for a Compliance professional...
AVP, Regulatory Affairs Specialist (Branch Inspection)
- New York, NY
- 8 days ago
- New York, NY
- 8 days ago
We are seeking a seasoned professional to join our Regulatory Group as an Assistant Vice President, with a primary focus on conducting branch and non-branch location (NBL) inspections. This role...
VP, Regulatory Affairs Specialist (Regulatory Exams)
- New York, NY
- 8 days ago
- New York, NY
- 8 days ago
We are seeking a seasoned professional to join our Regulatory Group as a Vice President, with a primary focus on managing regulatory exams. This role is part of the Firm's Legal Department and...
Compliance Officer, Trade Surveillance
- New York City, NY (2 miles from New York, NY)
- 8 days ago
- New York City, NY (2 miles from New York, NY)
- 8 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...
- New York, NY
- 9 days ago
- New York, NY
- 9 days ago
In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank....
Demographic Data for New York, NY
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Salary for Compliance Specialist Jobs in New York, NY
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in New York, NY 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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