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.
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,...
- 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...
- 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,...
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.
Compliance Specialist Online Courses and Training Opportunities
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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
- Retail Banking
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Mortgage Lending
- Commercial Banking
- Private Banking
- 21 CFR 820
- Operations Analysis
- Internal Control
- Equities
- Derivatives
- BSA
- Management Reporting
- Wealth Management
- Fixed Income
- Capital Markets
- Securities and Exchange Commission
- Lending
- Financial Services
- Anti-Money Laundering
- Mortgage Processing
- Business Administration
- Finance
- Information Technology
- Reimbursement
- Accounting
- Risk Management
- Implementation
- Analytical Skills
- Payroll
- Auditing
- Investigation
- Verbal Communication
- Collaboration
- Flexibility
- Reporting
- Documentation
- Filing
- Bachelor's Degree
- Regulations
- Policy Development
- Microsoft Office
- Project Management
- Problem Solving
- Microsoft Excel
- Sales
- Research Skills
- Time Management
- 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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