Compliance Specialist Jobs in North Carolina
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.
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,...
Senior Lead Compliance Officer - Global Surveillance Oversight (GSO)
- Charlotte, NC
- 2 days ago
- Charlotte, NC
- 2 days ago
About this role: Wells Fargo is seeking a Senior Lead Compliance Officer to join the Corporate & Investment Banking (CIB) Compliance organization within Global Surveillance Oversight. The CIB...
Lead Compliance Officer - Trade Surveillance Oversight
- Charlotte, NC
- 3 days ago
- Charlotte, NC
- 3 days ago
About this role: Wells Fargo is seeking a Lead Compliance Officer in Corporate Risk as part Trade Surveillance Oversight Team. This role will be responsible for providing oversight of the...
Join us as a Compliance Officer AVP- Advisory, where you will provide expert guidance, oversight and challenge on compliance risks and regulatory requirements to ensure Barclays US Consumer Bank...
Quality & Compliance Associate- Pharmaceutical/ Life Sciences
- Durham, NC
- 5 days ago
- Durham, NC
- 5 days ago
Quality & Compliance Associate- Pharmaceutical/ Life Sciences Job ID 224606 Posted 12-Jun-2025 Service line GWS Segment Role type Full-time Areas of Interest Risk Management Location(s) Durham -...
Part-Time Regulatory Affairs Specialist Location: Durham, NC (Hybrid) Industry: Flavor, Fragrance, Food, Brewing, Distilling, Confectionery, Nutraceutical Schedule: Monday-Friday 8am-5pm, flexible...
Lead Compliance Officer Global Surveillance Oversight (GSO)
- Charlotte, NC
- 9 days ago
- Charlotte, NC
- 9 days ago
Wells Fargo is seeking a Lead Compliance Officer in Corporate Risk as part Trade Surveillance Oversight Team. This role will be responsible for providing oversight of the front-line Market Conduct...
CIG deploys it strategies across various vehicles including CLOs, separately managed accounts, private funds, mutual funds, and other commingled vehicles....
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 -...
CK Group are recruiting for a Chemical Compliance Associate, to join a chemicals and materials manufacturer, at their site based near Sheffield, on a 12 month maternity cover contract. The...
Our client in the financial industry is seeking a 1099 Tax Compliance Consultant to join their team. As a 1099 Tax Compliance Consultant, you will be part of the Tax Compliance Department...
Risk Compliance Officer II - Compliance Testing
- Charlotte, NC
- 30+ days ago
- Charlotte, NC
- 30+ days ago
Location: On site in Memphis, TN, Johnson City, TN, Orlando, FL, Miami Lakes, FL, Asheboro, NC, Knoxville, TN, Longwood, FL, Birmingham, AL Summary The primary responsibility of this position is...
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...
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Would you like to join an international team working to improve the future of healthcare? Do you want to enhance the lives of millions of people? Grifols is a global healthcare company that since...
Demographic Data for North Carolina
Moving to North Carolina? Find some basic demographic data about North Carolina below.
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Salary for Compliance Specialist Jobs in North Carolina
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in North Carolina offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Specialist position
- ISO Certified
- Retail
- Retail Banking
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Mortgage Lending
- Private Banking
- 21 CFR 820
- Equity Research
- BSA
- Equities
- Derivatives
- Internal Control
- Wealth Management
- Fixed Income
- Capital Markets
- Securities and Exchange Commission
- Lending
- Financial Services
- Mortgage Processing
- Anti-Money Laundering
- Due Diligence
- Business Administration
- Finance
- Accounts Receivable
- Information Technology
- Reimbursement
- Accounting
- Risk Management
- Staffing
- Analytical Skills
- Implementation
- Payroll
- Auditing
- Investigation
- Verbal Communication
- Collaboration
- Reporting
- Documentation
- Bachelor's Degree
- Filing
- Regulations
- Policy Development
- Microsoft Office
- Problem Solving
- Microsoft Excel
- Research Skills
- Time Management
- Staff Supervision
- Organization
- Leadership
- Communication Skills
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