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.
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...
Senior G&C Governance & Control Specialist Compliance COE
- Charlotte, NC
- 1 day ago
- Charlotte, NC
- 1 day ago
Work Location: Charlotte, North Carolina, United States of America Hours: 40 Pay Details: $110,760 - $166,400 USD TD is committed to providing fair and equitable compensation opportunities to all...
Senior Lead Compliance Officer - CIB Fixed Income Sales & Trading Compliance Team
- Charlotte, NC
- 5 days ago
- Charlotte, NC
- 5 days ago
About this role: Wells Fargo is seeking a Senior Lead Compliance Officer to join the CIB Fixed Income Business Aligned Compliance Team. This role within the Fixed Income Sales & Trading Compliance...
Senior Lead Compliance Officer - Municipal Products Group
- Charlotte, NC
- 7 days ago
- Charlotte, NC
- 7 days ago
About this role: Wells Fargo is seeking a Senior Lead Compliance Officer to perform as the Senior Lead Business Line Compliance Officer for Public Finance Investment Banking within the Municipal...
Lead Compliance Officer - Regulatory Change & Inventory Management
- Charlotte, NC
- 15 days ago
- Charlotte, NC
- 15 days ago
Wells Fargo is seeking a Lead Compliance Officer to join the Regulatory Change & Inventory Management (RCIM) team within Wells Fargo Compliance. As part of the RCIM team, the Lead Compliance...
Req 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...
Alternate Locations:** Charlotte, NC (North Carolina); Fort Wayne, IN (Indiana); Greensboro, NC (North Carolina); Hartford, CT (Connecticut); Omaha, NE (Nebraska); Radnor, PA (Pennsylvania); Work...
Remote Workfunds....
Davidson & Co. is a leading financial services firm providing wealth management, financial planning, investment banking, and public finance services to a client base that includes individuals, corporations...
About this role: Wells Fargo is looking for a Compliance Officer responsible for creating, executing, and delivering reports to management and governance committees. The role involves turning...
- Fort Mill, SC (14 miles from Charlotte, NC)
- 45+ days ago
- Fort Mill, SC (14 miles from Charlotte, NC)
- 45+ days ago
The Senior Analyst, Compliance Operations/Information Lifecycle Management, will primarily be responsible for performing second-line controls intended to provide oversight of the firms regulatory...
Senior Lead Compliance Officer - RIM MCR Tool Senior Lead Compliance Officer - RIM MCR Tool locations CHARLOTTE, NC WEST DES MOINES, IA TEMPE, AZ SAINT LOUIS, MO DALLAS, TX View All 6 Locations...
Technical Service & Compliance Coordinator
- Fort Mill, SC (14 miles from Charlotte, NC)
- 60+ days ago
- Fort Mill, SC (14 miles from Charlotte, NC)
- 60+ 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....
Financial Services Commercial Advisory - Financial Crimes, Risk & Compliance Consultant
- Charlotte, NC
- 90+ days ago
- Charlotte, NC
- 90+ days ago
Job Family: Risk & Regulatory Compliance Consulting Travel Required: Up to 50% Clearance Required: None What You Will Do: Guidehouse has an aggressive growth strategy for its Financial Crimes,...
Demographic Data for Charlotte, NC
Moving to Charlotte, NC? Find some basic demographic data about Charlotte, NC below.
Compliance Specialist Online Courses and Training Opportunities
Title Synonyms
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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
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Internal Audits
- 21 CFR 820
- Mutual Funds
- 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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Here are some other career titles that require similar skills
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