Compliance Specialist Jobs in Frisco, TX
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.
Portfolio Management Compliance Associate Plano, TX, USA
- Fisher Investments
- Plano, TX (11 miles from Frisco, TX)
- 10 days ago
- Plano, TX (11 miles from Frisco, TX)
- 10 days ago
The Opportunity: The Portfolio Management Compliance (PMC") Associate is responsible for helping to support Portfolio Management Compliance team tasks, requirements, and protocols within the...
RemotePortfolio Management Compliance Associate
- Fisher Investments
- Plano, TX (11 miles from Frisco, TX)
- 13 days ago
- Plano, TX (11 miles from Frisco, TX)
- 13 days ago
Overview The Opportunity: The Portfolio Management Compliance (PMC) Associate is responsible for helping to support Portfolio Management Compliance team tasks, requirements, and protocols within...
HybridJob Overview: Regulatory & Scientific Affairs is integral to bringing new products to market as quickly as possible while ensuring ingredients and packaging materials are safe for use in, or in...
In PersonTreasury Risk and Compliance Associate
- DTCC Candidate Experience Site
- Coppell, TX (17 miles from Frisco, TX)
- 23 days ago
- Coppell, TX (17 miles from Frisco, TX)
- 23 days ago
View More Jobs Treasury Risk and Compliance Associate Jersey City, NJ, United States and 1 more Be the First to Apply Apply Now Job Info Job Identification 213592 Job Category Finance Posting Date...
Hybrid Full TimeChief Compliance Officer - NLG Capital
- National Life Group
- Addison, TX (15 miles from Frisco, TX)
- 60+ days ago
- Addison, TX (15 miles from Frisco, TX)
- 60+ days ago
Come join one of America's fastest-growing insurance companies. Since 1848, National Life Group has aimed to keep our promises, providing families with stability in good times and in bad....
In PersonDemographic Data for Frisco, TX
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Salary for Compliance Specialist Jobs in Frisco, TX
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Frisco, TX 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
- Interpersonal Skills
- 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
- Time Management
- Leadership
- Communication Skills
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Here are some other career titles that require similar skills
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