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.
Compliance Consultant, Advertising Review
- Radnor, PA (12 miles from Exton, PA)
- moments ago
- Radnor, PA (12 miles from Exton, PA)
- moments ago
funds, in addition to Lincolns annuity, insurance, and retirement plan products....
Compliance Associate - Global Due Diligence
- Oaks, PA (11 miles from Exton, PA)
- 1 day ago
- Oaks, PA (11 miles from Exton, PA)
- 1 day ago
These products include mutual funds, collective investment trusts (CITs), ETFs, managed accounts, and funds in other regions like Ireland and Canada....
Compliance Consultant, Funds Management
- Radnor, PA (12 miles from Exton, PA)
- 2 days ago
- Radnor, PA (12 miles from Exton, PA)
- 2 days ago
Alternate Locations: Radnor, PA (Pennsylvania) Work Arrangement: Hybrid/Common Days+ : Work 2-3 days a week in a Lincoln office with a designated workspace. Relocation assistance: is not available...
Fixed Income Compliance Associate Experienced Hire
- Bala Cynwyd, PA (21 miles from Exton, PA)
- 7 days ago
- Bala Cynwyd, PA (21 miles from Exton, PA)
- 7 days ago
Overview We are seeking a highly motivated individual to join our team as a Fixed Income Compliance Associate. You will be directly involved in reviewing all aspects of the Firm's fixed income...
Analyst, Compliance & Product Support Exton, PA I USA 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...
Lead Regulatory Affairs Specialist
- Audubon, PA (15 miles from Exton, PA)
- 7 days ago
- Audubon, PA (15 miles from Exton, PA)
- 7 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...
Technical Business Analyst Compliance Technology Experienced Hire
- Bala Cynwyd, PA (21 miles from Exton, PA)
- 14 days ago
- Bala Cynwyd, PA (21 miles from Exton, PA)
- 14 days ago
Overview Susquehanna International Group is seeking an experienced Technical Business Analyst to join our compliance technology team in the Philadelphia office. The compliance technology team...
West Pharmaceutical Services, Inc. seeks a Senior Regulatory Affairs Specialist at its Exton, PA location. DUTIES: Develop and implement regulatory strategies for West's Administration System...
Remote WorkSr Regulatory Affairs Specialist
- Audubon, PA (15 miles from Exton, PA)
- 23 days ago
- Audubon, PA (15 miles from Exton, PA)
- 23 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...
VP, Compliance Officer - Deposit Advisory
- Malvern, PA (5 miles from Exton, PA)
- 28 days ago
- Malvern, PA (5 miles from Exton, PA)
- 28 days ago
At Customers Bank, we believe in working hard, working smart, working together to deliver memorable customer experiences and having fun. Our vision, mission, and values guide us along our path to...
Technical Business Analyst - Compliance
- Bala Cynwyd, PA (21 miles from Exton, PA)
- 30+ days ago
- Bala Cynwyd, PA (21 miles from Exton, PA)
- 30+ days ago
Overview Susquehanna International Group is seeking an experienced Technical Business Analyst to join our compliance technology team in the Philadelphia office. The compliance technology team...
Regulatory Affairs Specialist, Senior
- Talleyville, DE (17 miles from Exton, PA)
- 30+ days ago
- Talleyville, DE (17 miles from Exton, PA)
- 30+ days ago
The Senior Regulatory Affairs Specialist is responsible for the successful implementation of regulatory goals and objectives. Accountable for creating a culture of continuous regulatory readiness...
Senior Regulatory Affairs Specialist
- Wilmington, DE (22 miles from Exton, PA)
- 90+ days ago
- Wilmington, DE (22 miles from Exton, PA)
- 90+ days ago
Overview: This position is responsible for supervisory exam management, continuous monitoring, and may provide consultation and guidance to (1) senior management and (2) Regulatory Affairs...
- Bala Cynwyd, PA (21 miles from Exton, PA)
- 45+ days ago
- Bala Cynwyd, PA (21 miles from Exton, PA)
- 45+ days ago
Compliance Associate 3.8 3.8 out of 5 stars Bala-Cynwyd, PA Our Compliance team provides critical support to ensure that the firm operates within regulatory requirements. By joining our team, you...
Senior Analyst, Regulatory Compliance Affairs Exton, PA I Hartford, CT I USA As a Senior Analyst, you will be a member of Regulatory Compliance Services (RCS) team part of AXA XL's Underwriting...
Demographic Data for Exton, PA
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Salary for Compliance Specialist Jobs in Exton, PA
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Exton, PA 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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