Compliance Specialist Jobs in Exton, PA

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.

1-14 of 14 Jobs

Sr Product Stewardship & Regulatory Affairs Specialist Job

  • Radnor, PA (12 miles from Exton, PA)
  • 18 hours ago
  • Radnor, PA (12 miles from Exton, PA)
  • 18 hours ago

In conjunction with the Specialty Surfactants Business Unit (BU) for which the position is responsible, manage activities to assure compliance with legal and corporate product stewardship and...

Global Senior Governance, Risk, and Compliance Analyst (King Of Prussia, PA, US, 19406)

  • King of Prussia, PA (13 miles from Exton, PA)
  • 2 days ago
  • King of Prussia, PA (13 miles from Exton, PA)
  • 2 days ago

Requistion Number: 26210 When you work for AmeriGas, you become a part of something BIG! Founded in 1959, AmeriGas is the nation's premiere propane company, serving over 1.5 million residential,...

Compliance Auditor

  • Lafayette Hill, PA (20 miles from Exton, PA)
  • 3 days ago
  • Lafayette Hill, PA (20 miles from Exton, PA)
  • 3 days ago

Are you looking for an opportunity to advance your career while working with an extraordinary team? At Merakey, we put heart and soul into everything we do. We are seeking a Compliance Auditor to...

Compliance Associate

  • Glen Mills, PA (11 miles from Exton, PA)
  • 8 days ago
  • Glen Mills, PA (11 miles from Exton, PA)
  • 8 days ago

In this role, the Compliance Associate will play a key part in supporting and implementing compliance programs for SEC-registered investment advisers and funds (including mutual funds and ETFs)....

Governance, Risk, and Compliance Analyst, Specialist

  • Malvern, PA (5 miles from Exton, PA)
  • 13 days ago
  • Malvern, PA (5 miles from Exton, PA)
  • 13 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...

U.S. Anti-Money Laundering Compliance Officer

  • Malvern, PA (5 miles from Exton, PA)
  • 20 days ago
  • Malvern, PA (5 miles from Exton, PA)
  • 20 days ago

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,...

Analyst, Compliance & Product Support

  • Exton, PA
  • 28 days ago
  • Exton, PA
  • 28 days ago

As an Analyst, you will be a member of the compliance team and will play an integral role in AXA XL's US (Re) Insurance Compliance and Regulatory operations. This team is part of AXA XL's North...

Compliance Consultant, Advertising Review

  • Radnor, PA (12 miles from Exton, PA)
  • 28 days ago
  • Radnor, PA (12 miles from Exton, PA)
  • 28 days ago

Alternate Locations: Radnor, PA (Pennsylvania); Fort Wayne, IN (Indiana); Greensboro, NC (North Carolina); Hartford, CT (Connecticut); Omaha, NE (Nebraska) Work Arrangement: Hybrid Preferred :...

Compliance Consultant, Funds Management

  • Radnor, PA (12 miles from Exton, PA)
  • 30+ days ago
  • Radnor, PA (12 miles from Exton, PA)
  • 30+ days ago

Alternate Locations: Radnor, PA (Pennsylvania); Boston, MA (Massachusetts); Dover, NH (New Hampshire); Fort Wayne, IN (Indiana) Work Arrangement: Hybrid Preferred : Preferred employee will work 3...

Compliance Consultant, Advertising Review - Investments

  • Radnor, PA (12 miles from Exton, PA)
  • 30+ days ago
  • Radnor, PA (12 miles from Exton, PA)
  • 30+ days ago

funds, in addition to Lincoln's annuity, insurance, and retirement plan products....

Compliance Consultant, Advertising Review - Private Market Funds

  • Radnor, PA (12 miles from Exton, PA)
  • 30+ days ago
  • Radnor, PA (12 miles from Exton, PA)
  • 30+ days ago

funds, in addition to Lincolns annuity, insurance, and retirement plan products....

Sr.Technology Risk and Compliance Associate

  • Crum Lynne, PA (20 miles from Exton, PA)
  • 45+ days ago
  • Crum Lynne, PA (20 miles from Exton, PA)
  • 45+ days ago

TransUnion's Job Applicant Privacy Notice Personal Information We Collect Your Privacy Choices What We'll Bring: At TransUnion, we strive to build an environment where our associates are in the...

Global Senior Governance, Risk, and Compliance Analyst

  • King of Prussia, PA (13 miles from Exton, PA)
  • 60+ days ago
  • King of Prussia, PA (13 miles from Exton, PA)
  • 60+ days ago

Requistion Number: 26210 When you work for AmeriGas, you become a part of something BIG! Founded in 1959, AmeriGas is the nations premiere propane company, serving over 1.5 million residential,...

Sr Regulatory Affairs Specialist

  • Audubon, PA (15 miles from Exton, PA)
  • 90+ days ago
  • Audubon, PA (15 miles from Exton, PA)
  • 90+ days ago

At Globus Medical, we move with a sense of urgency to deliver innovations that improve the quality of life of patients with musculoskeletal disorders. Our team is inspired by the needs of these...

Demographic Data for Exton, PA

Moving to Exton, PA? Find some basic demographic data about Exton, PA below.


Local
National
18,808
1,404
Medium/Sm

Compliance Specialist Online Courses and Training Opportunities

iHireFinance curates thousands of courses in order to recommend the best ones to help further your career. If you register for a course using the links on our site, we may receive a small commission.
VITARA - Compliance Risk Management
This self-paced course provides fundamental knowledge on modern Compliance Risk Management (CRM) good practices. The strategic goal of CRM is to steadily increase the level of voluntary compliance...
Governance, Risk, and Compliance Course
This course provides an overview of governance, risk, and compliance. It focuses on the importance of GRC, identifying GRC concerns, and ways to mitigate those concerns. Our exclusive content is...
Cannabis Compliance, Testing, and Research
Identify legal operations in the cannabis industry and investigate how research and development can advance cannabis science. Learn compliance and testing methods related to analytical chemistry...

Title Synonyms

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Salary for Compliance Specialist Jobs in Exton, PA

Estimated salary range based on data from US Bureau of Labor Statistics (BLS) and iHireFinance research efforts.

Licensing / Certification

Required or preferred licenses and certifications for Compliance Specialist positions.



Highest Education Level

Compliance Specialists in Exton, PA offer the following education background
Bachelor's Degree
46.7%
Master's Degree
35.3%
Doctorate Degree
6.4%
Associate's Degree
4.2%
High School or GED
3.4%
Vocational Degree or Certification
3.2%
Some College
0.7%
Some High School
0.1%

Average Work Experience
Here's a breakdown of the number of years' experience offered by Compliance Specialists in Exton, PA
None
39.1%
2-4 years
26.1%
4-6 years
13.0%
1-2 years
8.7%
Less than 1 year
8.7%
10+ years
4.3%


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