Compliance Specialist Jobs in New York
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.
Financial Crime Compliance Officer - Legal Rules/Regulations, Governance and New Business
- New York, NY
- 15 hours ago
- New York, NY
- 15 hours ago
Join us as a Financial Crime Compliance Officer, where you will support governance, oversight, and regulatory compliance efforts within Americas Financial Crime Compliance, through the enhancement...
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...
About the Role: Grade Level (for internal use): 10 About the Role/The Team: We are seeking an additional team member to support the implementation of regulatory action plans in the Americas,...
Analyst-Compliance, Global Financial Crimes Compliance, Product Approval
- New York, NY
- 1 day ago
- New York, NY
- 1 day ago
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and...
VP-Regulatory Compliance Officer-CIBNew York, United States of America WHAT YOU WILL BE DOING The VP, Compliance Officer coordinates and implements a wide range of regulatory compliance...
IT Risk and Compliance Analyst 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:...
Advisory Compliance Officer - Fixed Income Business Line Compliance. Job in New York Gr8Jobs
- New York, NY
- 3 days ago
- New York, NY
- 3 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...
This is a high-impact role within a small team focused on equity research distribution for institutional clients....
Compliance Associate 3.6 3.6 out of 5 stars New York, NY 10018 Hybrid work Position Summary This position reports to the Associate General Counsel/Compliance Officer and is part of the Legal and...
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
- 5 days ago
- New York, NY
- 5 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...
Regulatory Affairs Analyst When a group of families came together in 1957 to find services for their children with developmental disabilities, ACLD was born. Today, we are a leading not-for-profit...
This is a high-impact role within a small team focused on equity research distribution for institutional clients....
Apply now " Title: Legal & Compliance Analyst Requisition ID#: 648 Location: Waterloo, NY, US, 13165 Property: Del Lago Resort & Casino Pay Range: $22.00 JOIN OUR TEAM With gaming, hotel, retail...
New York City Risk and Compliance Consultant - 2026
- New York City, NY
- 7 days ago
- New York City, NY
- 7 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...
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Title Synonyms
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Salary for Compliance Specialist Jobs in New York
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in New York 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
- Product Development
- Retail Banking
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Mortgage Lending
- Internal Audits
- Private Banking
- 21 CFR 820
- 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
- Accounts Receivable
- Finance
- Information Technology
- Reimbursement
- Accounting
- Risk Management
- Staffing
- Implementation
- Analytical Skills
- Payroll
- Auditing
- Investigation
- Collaboration
- Flexibility
- Reporting
- Documentation
- 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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