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.
Advisory Compliance Officer - Fixed Income Business Line Compliance
- New York, NY
- 4 days ago
- New York, NY
- 4 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...
Job Title: IT Risk and Compliance Analyst Location: NYC or Chicago, IL Hybrid 3 days - Onsite Duration: 6 months Contract Rate: $50/hr Job Description: Must Have: Strong communication skills to...
Advisory Compliance Officer - Fixed Income Business Line Compliance. Job in New York Gr8Jobs
- New York, NY
- 8 hours ago
- New York, NY
- 8 hours 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...
This is a high-impact role within a small team focused on equity research distribution for institutional clients....
Compliance Associate Full Time New York, NY, US Yesterday Requisition ID: 2049 Salary Range: $75,000.00 To $90,000.00 Annually Position Summary This position reports to the Associate General...
Empower. Unite. Care. MetroPlusHealth is committed to empowering New Yorkers by uniting communities through care. We believe that Health care is a right, not a privilege. If you have compassion...
IT Risk and Compliance Analyst in New York, NY/ Chicago, IL office at least 2 days a week
- New York, NY
- 2 days ago
- New York, NY
- 2 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 Vice President Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management...
This is a high-impact role within a small team focused on equity research distribution for institutional clients....
New York City Risk and Compliance Consultant - 2026
- New York City, NY (2 miles from New York, NY)
- 4 days ago
- New York City, NY (2 miles from New York, NY)
- 4 days ago
JOB REQUISITION New York City Risk and Compliance Consultant - 2026 LOCATION NEW YORK CITY ADDITIONAL LOCATION(S) JOB DESCRIPTION Are You Ready to Live Something Different with Protiviti? The...
Director, Markets Compliance Officer
- New York City, NY (2 miles from New York, NY)
- 4 days ago
- New York City, NY (2 miles from New York, NY)
- 4 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,...
Join Mizuho as a Business Analyst IT for Compliance Technology! In this role you will bridge business needs and IT solutions within the compliance field. This role involves analyzing requirements,...
Our client, a major bank in New York City, is looking for IT Business Analyst - Compliance Systems. Permanent position with competitive compensation package (base range is 150K - 165K), excellent...
- New York City, NY (2 miles from New York, NY)
- 5 days ago
- New York City, NY (2 miles from New York, NY)
- 5 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...
AML / OFAC Compliance Officer / Advisory (Financial Security)
- New York, NY
- 8 days ago
- New York, NY
- 8 days ago
Summary: A This position is placed within the Advisory group of the Financial Security team. The position's main responsibilities are centered on the following: reviewing and validating high risk...
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
- ISO Certified
- Retail
- Retail Banking
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Mortgage Lending
- Internal Audits
- Private Banking
- 21 CFR 820
- Equity Research
- BSA
- Equities
- Derivatives
- Internal Control
- Wealth Management
- Fixed Income
- Capital Markets
- Securities and Exchange Commission
- Lending
- Financial Services
- Mortgage Processing
- Anti-Money Laundering
- Business Administration
- Finance
- Accounts Receivable
- Information Technology
- Reimbursement
- Accounting
- Risk Management
- Staffing
- Analytical Skills
- Implementation
- Payroll
- Auditing
- Investigation
- Collaboration
- Documentation
- Reporting
- Bachelor's Degree
- Filing
- Regulations
- Policy Development
- Microsoft Office
- Problem Solving
- Microsoft Excel
- Research Skills
- Time Management
- Staff Supervision
- Organization
- Scheduling
- Leadership
- Communication Skills
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