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.
Senior Lead Compliance Officer - Futures Commission Merchant (FCM) - Executive Director
- Wells Fargo
- New York, NY
- 17 hours ago
- New York, NY
- 17 hours ago
This role will report to the head of Equities Compliance within the Corporate & Investment Banking (CIB) Markets Compliance team....
In PersonSenior Lead Compliance Officer - Prime Brokerage & Equities
- Wells Fargo
- New York, NY
- 1 day ago
- New York, NY
- 1 day ago
The Senior Lead Compliance Officer will provide compliance coverage for Prime Brokerage, while extending support across Cash Equities and broader broker-dealer activities, partnering closely with business...
HybridLocation: New York City, NY, / Columbia, MD (Hybrid) In this position, you'll be based in the New York City or Columbia, MD office for a minimum of three days a week, with the flexibility to work...
Remote- BD (Becton, Dickinson and Company)
- Franklin Lakes, NJ (21 miles from New York, NY)
- 6 days ago
- Franklin Lakes, NJ (21 miles from New York, NY)
- 6 days ago
We are the people who give possibilities purpose BD is one of the largest global medical technology companies in the world. Advancing the world of health is our Purpose, and it's no small feat. It...
In PersonChief Compliance Officer Consultant
- Staff Financial Group
- New York, NY
- 6 days ago
- New York, NY
- 6 days ago
Back To Results Chief Compliance Officer Consultant Job Description We are searching for a Senior Level Compliance professionial with financial services experience. This is a short-term consulting...
In PersonAnalyst-Compliance ; Customer Due Diligence
- American Express
- New York, NY
- 7 days ago
- New York, NY
- 7 days ago
The American Express Global Financial Crimes Compliance (GFCC) function provides second-line policy, framework, oversight and control solutions to meet the Companys legal, regulatory and risk...
In PersonFinancial Crime Compliance Officer
- Tradeweb Markets Inc.
- Jersey City, NJ (4 miles from New York, NY)
- 12 days ago
- Jersey City, NJ (4 miles from New York, NY)
- 12 days ago
We serve more than 3,000 clients in more than 85 countries, including many of the world's largest banks, asset managers, hedge funds, insurers, corporations, and wealth managers....
HybridCompliance Officer, Broker-Dealer Advisor (Equities and Options) - VN2750
- Marex Group, Plc.
- New York, NY
- 13 days ago
- New York, NY
- 13 days ago
The Group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and...
In PersonRegulatory Affairs Specialist Jr Corporate COL
- Symrise
- Bogota, NJ (8 miles from New York, NY)
- 14 days ago
- Bogota, NJ (8 miles from New York, NY)
- 14 days ago
Symrise es un proveedor global de aromas y sabores, ingredientes activos y bases de cosmeticos e ingredientes funcionales. Sus clientes son fabricantes de perfumes, cosmeticos, alimentos y...
In PersonCorporate Tax - State Income Tax Compliance - Associate
- JPMorgan Chase & Co.
- Jersey City, NJ (4 miles from New York, NY)
- 15 days ago
- Jersey City, NJ (4 miles from New York, NY)
- 15 days ago
JobID: 210728240 Category: Tax JobSchedule: Full time Posted Date: 2026-05-19T19:06:37+00:00 JobShift: Day Base Pay/Salary: Jersey City,NJ $104,500.00-$153,000.00 Join the Corporate Tax team! As a...
In PersonChief Compliance Officer, Green Pier
- Fidelity Investments
- Jersey City, NJ (4 miles from New York, NY)
- 16 days ago
- Jersey City, NJ (4 miles from New York, NY)
- 16 days ago
Job Description: Chief Compliance Officer, Green Pier Fintech The Role The Chief Compliance Officer (CCO) is a key member of the senior leadership team, responsible for providing strategic...
In PersonBroker/Dealer Compliance, Associate
- Blue Owl Capital Holdings LLC
- Millburn, NJ (16 miles from New York, NY)
- 18 days ago
- Millburn, NJ (16 miles from New York, NY)
- 18 days ago
Blue Owl (NYSE: OWL) is a leading asset manager that is redefining alternatives. With over $315 billion in assets under management as of March 31, 2026, we invest across three multi-strategy...
In PersonBroker/Dealer Compliance, Associate
- Blue Owl
- Short Hills, NJ (17 miles from New York, NY)
- 20 days ago
- Short Hills, NJ (17 miles from New York, NY)
- 20 days ago
Blue Owl (NYSE: OWL) is a leading asset manager that is redefining alternatives. With over $315 billion in assets under management as of March 31, 2026, we invest across three multi-strategy...
In PersonCompliance Associate, SEC & Corporate
- LS Power Development, LLC
- New York, NY
- 24 days ago
- New York, NY
- 24 days ago
Overview About us: Founded in 1990, LS Power is a premier development, investment, and operating company focused on the North American power and energy infrastructure sector, with leading...
In PersonTreasury Risk and Compliance Associate
- DTCC
- Jersey City, NJ (4 miles from New York, NY)
- 24 days ago
- Jersey City, NJ (4 miles from New York, NY)
- 24 days ago
Are you ready to make an impact at DTCC? Do you want to work on innovative projects, collaborate with a dynamic and supportive team, and receive investment in your professional development? At...
HybridDemographic Data for New York, NY
Moving to New York, NY? Find some basic demographic data about New York, NY below.
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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
- Internal Audits
- OFAC
- 21 CFR 820
- Tila Respa Integrated Disclosures
- Equities
- Management Reporting
- Securities and Exchange Commission
- BSA
- Derivatives
- Know Your Customer
- Audit Support
- Retirement Planning
- Fixed Income
- Internal Control
- Investment Management
- Anti-Money Laundering
- Financial Services
- Due Diligence
- Resolution
- Finance
- Accounting
- Reimbursement
- Analytical Skills
- Risk Management
- Strategy Development
- Auditing
- Written Communication
- Investigation
- Documentation
- Interpersonal Skills
- Implementation
- Verbal Communication
- Reporting
- Policy Development
- Filing
- Collaboration
- Education Experience
- Bachelor's Degree
- Sales
- Regulations
- Microsoft Excel
- Research Skills
- Microsoft Office
- Project Management
- Problem Solving
- Staff Supervision
- Scheduling
- Time Management
- Leadership
- Communication Skills
Other Career Titles
Here are some other career titles that require similar skills
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