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.
Compliance Associate Vieux Vins Group is a prestigious wine and spirits company dedicated to curating a unique selection of fine wines and artisanal spirits from around the world. With a rich...
Principal Regulatory Affairs Specialist (SaMD)
- New York City, NY
- 15 hours ago
- New York City, NY
- 15 hours ago
We are a growing startup company focused on developing and distributing machine learning (artificial intelligence) solutions for medical applications. The Senior Regulatory Specialist must be...
Maven is the world's largest virtual clinic for women and families on a mission to make healthcare work for all of us. Maven's award-winning digital programs provide clinical, emotional, and...
Senior Financial Analyst, Financial Compliance and Reporting (Hybrid Schedule) Columbia University
- New York, NY
- 20 hours ago
- New York, NY
- 20 hours ago
Job Type: Officer of Administration Regular/Temporary: Regular Hours Per Week: 35 Building: Studebaker Salary Range: $80,000 - $85,000 The salary of the finalist selected for this role will be set...
IT Security Regulatory & Compliance - Associate Country: United States of America Your Journey Starts Here: Santander is a global leader and innovator in the financial services industry. We...
Senior Compliance Officer U.S. Markets Compliance Advisory, TD Securities
- New York, NY
- 2 days ago
- New York, NY
- 2 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....
Experience working within the financial services and/or the mutual funds industry. KNOWLEDGE Automated post-trade compliance system. Microsoft Office Suite. Adobe Acrobat....
Advanced knowledge of the regulatory environment of mutual funds, exchange traded funds and advisory accounts. 5+ years of Portfolio Compliance investment oversight experience....
Lead Compliance Officer - Electronic Trading / Market Access Compliance Program
- New York, NY
- 4 days ago
- New York, NY
- 4 days ago
About this role: Wells Fargo is seeking a Lead Compliance Officer in Corporate and Investment Banking (CIB) Compliance to support the Electronic Trading / Market Access Compliance Program on the...
Building at Check At Check, we make paying people simple. In doing that, we're not just building our own business- we're building payroll businesses together with every one of our partners. As the...
Industry/Sector Not Applicable Specialism Fraud, Investigations & Regulatory Enforcement (FIRE) Management Level Manager Job Description & Summary A career in our Cybersecurity, Privacy and...
Company Description A leading global investment firm is seeking an Analyst/Associate to join the Compliance team in the New York office. This is a generalist compliance position that will support...
Company Description We're the world's leading sports technology company, at the intersection between sports, media, and betting. More than 1,700 sports federations, media outlets, betting...
You Lead the Way. We've Got Your Back. With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse...
Are you passionate about democratizing alternative investments? Do you enjoy meaningful work that has a noticeable impact on business performance?...
Demographic Data for New York
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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
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Internal Audits
- 21 CFR 820
- Equity Research
- Management Reporting
- Equities
- Derivatives
- BSA
- Internal Control
- Securities and Exchange Commission
- Capital Markets
- Fixed Income
- Employee Benefits
- Investment Banking
- Anti-Money Laundering
- Financial Services
- Revenue Cycle
- Business Processes
- Fraud Investigation
- Medicaid
- Medicare
- Resolution
- Finance
- Change Management
- Accounting
- Risk Management
- Strategy Development
- Process Improvement
- Implementation
- Verbal Communication
- Written Communication
- Investigation
- Auditing
- Collaboration
- Documentation
- Flexibility
- Data Analysis
- Reporting
- Bachelor's Degree
- Filing
- Microsoft PowerPoint
- Regulations
- Policy Development
- Sales
- Project Management
- Problem Solving
- Microsoft Excel
- Microsoft Office
- Research Skills
- Staff Supervision
- Organization
- Scheduling
- Leadership
- Communication Skills
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