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.
Senior Lead Compliance Officer - Futures Commission Merchant (FCM) - Executive Director
- Wells Fargo
- New York, NY
- 12 hours ago
- New York, NY
- 12 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
- 20 hours ago
- New York, NY
- 20 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...
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...
RemoteCompliance Associate Location: Larkin Bldg @ Exchange Street Location of Job : US:NY:Buffalo Work Type : Full-Time Shift 1 Job Description Provide support to Internal Audit, Corporate Compliance...
HybridChief 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
- 6 days ago
- New York, NY
- 6 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 PersonSenior Compliance Officer, Security Based Swaps
- StoneX Group Inc.
- New York, NY
- 12 days ago
- New York, NY
- 12 days ago
experience at a regulator, private firm, broker dealer or required Expert knowledge of SEC, FINRA rules related to security-based swap dealer rules required, including SEC and FINRA rules governing equities...
HybridThe role-holder will act as an experienced compliance specialist, providing both strategic and practical guidance to lawyers, junior notaries, and tax advisors....
In PersonCompliance 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 Personprocesses, controls, and fiduciary risk expectations Ability to translate investment complexity into structured risk frameworks Experience with risk tools (Bloomberg/PORT, Morningstar, Charles River IMS, FactSet...
HybridRegional Compliance Officer (West) - Key Investment Services (KIS)
- Keybank National Association
- Albany, NY
- 21 days ago
- Albany, NY
- 21 days ago
Location: For Those Who Work At Home, Washington Job Summary The Compliance Officer plays a key role in ensuring Key Investment Services LLC meets regulatory and internal standards. The primary...
RemoteCompliance Associate, SEC & Corporate
- LS Power Development, LLC
- New York, NY
- 23 days ago
- New York, 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 PersonThe 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 PersonCompliance Associate - Operations Support
- Millennium Management
- New York, NY
- 25 days ago
- New York, NY
- 25 days ago
Compliance Associate - Operations Support Operations Support will provide day-to-day operational support to senior leadership, with a primary focus on enabling the executive responsible for the...
In PersonSenior Compliance Officer - US&C Investments
- Marsh & McLennan Companies, Inc.
- New York, NY
- 27 days ago
- New York, NY
- 27 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...
HybridDemographic Data for New York
Moving to New York? Find some basic demographic data about New York below.
Compliance Specialist Online Courses and Training Opportunities
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
- 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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