Compliance Specialist Jobs in Mooresville, 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.
Retail Safety & Compliance Associate - (Full Time)
- IKEA
- Charlotte, NC (21 miles from Mooresville, NC)
- 14 days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 14 days ago
Why we will love you You care about making a positive impact in the world. You understand greatness requires thinking differently. An inclusive and accepting work environment is important to you....
In Person Full TimeGovernance, Risk & Compliance Analyst, Specialist
- Vanguard
- Charlotte, NC (21 miles from Mooresville, NC)
- 22 days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 22 days ago
The Governance, Risk & Compliance Analyst, Specialist is a key member of Vanguard's Global Enterprise Security's Governance, Risk, Compliance (GRC) and Strategic Operations team....
In Person- Lplfinancial
- Charlotte, NC (21 miles from Mooresville, NC)
- 27 days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 27 days ago
Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to...
In Person- Truist
- Charlotte, NC (21 miles from Mooresville, NC)
- 45+ days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 45+ days ago
Experience overseeing retail brokerage product/platform compliance and controls (e.g., mutual funds, ETFs, fixed income, alternatives where applicable), including new product reviews, suitability/sales...
In PersonDemographic Data for Mooresville, NC
Moving to Mooresville, NC? Find some basic demographic data about Mooresville, NC below.
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Salary for Compliance Specialist Jobs in Mooresville, NC
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Mooresville, NC 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
- 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
- Computer Skills
- Time Management
- Leadership
- Communication Skills
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Here are some other career titles that require similar skills
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