Compliance Specialist Jobs in Purchase, 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 (24 miles from Purchase, NY)
- 14 hours ago
- New York, NY (24 miles from Purchase, NY)
- 14 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 (24 miles from Purchase, NY)
- 22 hours ago
- New York, NY (24 miles from Purchase, NY)
- 22 hours 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...
Hybrid- Computershare Inc
- New York, NY (24 miles from Purchase, NY)
- 5 days ago
- New York, NY (24 miles from Purchase, NY)
- 5 days ago
Location: 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...
RemoteChief Compliance Officer Consultant
- Staff Financial Group
- New York, NY (24 miles from Purchase, NY)
- 6 days ago
- New York, NY (24 miles from Purchase, 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 (24 miles from Purchase, NY)
- 7 days ago
- New York, NY (24 miles from Purchase, 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 PersonGlobal Regulatory Reporting & Compliance Associate / VP Greenwich, CT, USA
- AQR
- Greenwich, CT (4 miles from Purchase, NY)
- 8 days ago
- Greenwich, CT (4 miles from Purchase, NY)
- 8 days ago
Global Regulatory Reporting & Compliance Associate / VP About AQR Capital Management AQR is a global investment firm built at the intersection of financial theory and practical application. We...
In PersonData Compliance - Associate/Vice President Greenwich, CT, USA
- AQR
- Greenwich, CT (4 miles from Purchase, NY)
- 11 days ago
- Greenwich, CT (4 miles from Purchase, NY)
- 11 days ago
Data Compliance - Associate/Vice President About AQR Capital Management AQR is a global investment firm built at the intersection of financial theory and practical application. We strive to...
In PersonCompliance Officer - Quant Trading
- Millennium Management
- Old Greenwich, CT (7 miles from Purchase, NY)
- 12 days ago
- Old Greenwich, CT (7 miles from Purchase, NY)
- 12 days ago
Compliance Officer - Quant Trading Position Details Provide ongoing compliance advisory to the Firm's largest portfolio manager Experience with addressing algorithmic/systematic trading matters is...
In PersonCompliance Officer, Broker-Dealer Advisor (Equities and Options) - VN2750
- Marex Group, Plc.
- New York, NY (24 miles from Purchase, NY)
- 13 days ago
- New York, NY (24 miles from Purchase, 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 (19 miles from Purchase, NY)
- 14 days ago
- Bogota, NJ (19 miles from Purchase, 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 PersonGlobal Regulatory Reporting & Compliance Associate / VP
- AQR
- Greenwich, CT (4 miles from Purchase, NY)
- 22 days ago
- Greenwich, CT (4 miles from Purchase, NY)
- 22 days ago
About AQR Capital Management AQR is a global investment firm built at the intersection of financial theory and practical application. We strive to deliver concrete, long-term results by looking...
In PersonCompliance Associate, SEC & Corporate
- LS Power Development, LLC
- New York, NY (24 miles from Purchase, NY)
- 23 days ago
- New York, NY (24 miles from Purchase, NY)
- 23 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 Person- New York City, NY
- New York, NY (24 miles from Purchase, NY)
- 24 days ago
- New York, NY (24 miles from Purchase, NY)
- 24 days ago
The New York City Comptroller's Office works to promote the financial health, integrity, and effectiveness of New York City government, in order to strengthen trust, secure a thriving future for...
In PersonSenior Compliance Officer - US&C Investments
- Marsh & McLennan Companies, Inc.
- New York, NY (24 miles from Purchase, NY)
- 28 days ago
- New York, NY (24 miles from Purchase, NY)
- 28 days ago
Marsh US&C Investments Compliance is recruiting for a Senior Compliance Officer who will work three days a week in our Boston or New York office alongside our team. The team at Marsh will prepare...
Hybrid- Robinhood
- New York, NY (24 miles from Purchase, NY)
- 29 days ago
- New York, NY (24 miles from Purchase, NY)
- 29 days ago
Join us in building the future of finance. Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades. The...
In PersonDemographic Data for Purchase, NY
Moving to Purchase, NY? Find some basic demographic data about Purchase, NY below.
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Salary for Compliance Specialist Jobs in Purchase, NY
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Purchase, 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
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Here are some other career titles that require similar skills
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