Compliance Specialist Jobs in Charlotte, NC
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.
The Risk and Compliance Analyst will play a critical role in driving the successful execution of a detailed analysis of Controls for our client's Commercial Banking environment. The Risk and...
Remote WorkThe Compliance Officer, Global Financial Crimes Group will assist the head of the Global Financial Crimes Group (FCG) with the ongoing activities related to the development, implementation and...
Senior Information Security Risk & Compliance Analyst/Consultant Actions
- Charlotte, NC
- 7 days ago
- Charlotte, NC
- 7 days ago
At U.S. Bank, were on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and...
Governance, Risk, and Compliance Analyst, Specialist
- Charlotte, NC
- 7 days ago
- Charlotte, NC
- 7 days ago
Global Risk and Security (GR&S) at Vanguard enables business strategy, protects client and Vanguard interests (e.g., assets and data), and stewards a strong risk culture. Our teams leverage...
JOB REQUISITION Charlotte Risk and Compliance Consultant - 2026 LOCATION CHARLOTTE ADDITIONAL LOCATION(S) JOB DESCRIPTION Are You Ready to Live Something Different with Protiviti? The Protiviti...
- Fort Mill, SC (14 miles from Charlotte, NC)
- 10 days ago
- Fort Mill, SC (14 miles from Charlotte, NC)
- 10 days ago
What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with...
Work Location: Charlotte, North Carolina, United States of America Hours: 40 Pay Details: $86,840 - $130,000 USD TD is committed to providing fair and equitable compensation opportunities to all...
Vanguard is seeking a dynamic and experienced leader to join our team as the U.S. AMLCO. This executive role is crucial in safeguarding our organization and clients from financial crimes,...
WHO WE ARE Elliott Davis pairs forward-thinking tax, assurance and consulting services with industry-leading workplace culture. Our nine offices located in the fastest growing cities in the US are...
Corporate Compliance Analyst - Enterprise Flood Compliance
- Charlotte, NC
- 30+ days ago
- Charlotte, NC
- 30+ days ago
**Job Description:** At Regions, the Corporate Compliance Analyst is a second line of defense risk management function that ensures the development and maintenance of a strong compliance culture by...
Risk Compliance Officer II - Compliance Testing
- Charlotte, NC
- 45+ days ago
- Charlotte, NC
- 45+ days ago
Compliance has oversight responsibility....
- Fort Mill, SC (14 miles from Charlotte, NC)
- 45+ days ago
- Fort Mill, SC (14 miles from Charlotte, NC)
- 45+ days ago
Who We Are ServiceMac is a new sub-servicing entity backed by some of the leading practitioners of the mortgage servicing industry. ServiceMac is focused on providing superior technology,...
Remote WorkReq ID: 312689 NTT DATA strives to hire exceptional, innovative and passionate individuals who want to grow with us. If you want to be part of an inclusive, adaptable, and forward-thinking...
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Technical Service & Compliance Coordinator
- Fort Mill, SC (14 miles from Charlotte, NC)
- 90+ days ago
- Fort Mill, SC (14 miles from Charlotte, NC)
- 90+ days ago
Basic Function This position is the key role in processing warrantyclaims. Adhere to company warranty policies and procedures to keep overallwarranty expenses within specified company metric....
Demographic Data for Charlotte, NC
Moving to Charlotte, NC? Find some basic demographic data about Charlotte, NC below.
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Salary for Compliance Specialist Jobs in Charlotte, NC
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Charlotte, NC offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Specialist position
- ISO Certified
- Product Development
- Corrective Actions & Preventive Actions
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Internal Audits
- Private Banking
- 21 CFR 820
- Equity Research
- Operations Analysis
- BSA
- Equities
- Derivatives
- Internal Control
- Management Reporting
- Fixed Income
- Investment Banking
- Capital Markets
- Securities and Exchange Commission
- Cross-Functional Team Management
- Financial Services
- Anti-Money Laundering
- Business Processes
- Due Diligence
- Business Administration
- Finance
- Reimbursement
- Accounting
- Vendor Management
- Risk Management
- Strategy Development
- Decision Making
- Implementation
- Auditing
- Consulting
- Written Communication
- Investigation
- Verbal Communication
- Mentoring
- Interpersonal Skills
- Collaboration
- Flexibility
- Reporting
- Documentation
- Filing
- Bachelor's Degree
- Regulations
- Microsoft PowerPoint
- Policy Development
- Microsoft Office
- Project Management
- Problem Solving
- Sales
- Microsoft Excel
- Research Skills
- Staff Supervision
- Organization
- Scheduling
- Leadership
- Communication Skills
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