Compliance Specialist Jobs in Plano, 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 days ago
- Plano, TX
- 11 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...
RemoteDeputy Chief Compliance Officer, Broker Dealer Compliance
- Cetera Financial Group
- Dallas, TX (18 miles from Plano, TX)
- 11 days ago
- Dallas, TX (18 miles from Plano, TX)
- 11 days ago
The Deputy Chief Compliance Officer, Broker Dealers is responsible for supporting our Cetera Investment Services broker dealer and overseeing shared service functions performed on behalf of all...
HybridPortfolio Management Compliance Associate
- Fisher Investments
- Plano, TX
- 13 days ago
- Plano, 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...
HybridSenior Regulatory Affairs Analyst
- Keurig Dr Pepper
- Frisco, TX (11 miles from Plano, TX)
- 20 days ago
- Frisco, TX (11 miles from Plano, TX)
- 20 days ago
Job 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 PersonGovernance, Risk & Compliance Analyst, Specialist
- Vanguard
- Dallas, TX (18 miles from Plano, TX)
- 22 days ago
- Dallas, TX (18 miles from Plano, TX)
- 22 days ago
The Governance, Risk & Compliance Analyst, Specialist is a key member of Vanguard's Global Enterprise Security's Governance, Risk, Compliance (GRC) and Strategic Operations team....
In PersonTreasury Risk and Compliance Associate
- DTCC Candidate Experience Site
- Coppell, TX (15 miles from Plano, TX)
- 23 days ago
- Coppell, TX (15 miles from Plano, 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 TimeSenior Regional Compliance Associate
- Farther
- Irving, TX (20 miles from Plano, TX)
- 27 days ago
- Irving, TX (20 miles from Plano, TX)
- 27 days ago
Senior Regional Compliance Associate Farther - 5.0 Irving, TX Job Details 1 hour ago Benefits Health insurance Unlimited paid time off 401(k) matching Qualifications Customer complaint resolution...
In PersonChief Compliance Officer, Green Pier
- Fidelity
- Dallas, TX (18 miles from Plano, TX)
- 28 days ago
- Dallas, TX (18 miles from Plano, TX)
- 28 days ago
Chief Compliance Officer, Green Pier Fintech The Role The Chief Compliance Officer (CCO) is a key member of the senior leadership team, responsible for providing strategic guidance on regulatory...
In PersonChief Compliance Officer - NLG Capital
- National Life Group
- Addison, TX (9 miles from Plano, TX)
- 60+ days ago
- Addison, TX (9 miles from Plano, 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 Person- Morgan Stanley
- Dallas, TX (18 miles from Plano, TX)
- 60+ days ago
- Dallas, TX (18 miles from Plano, TX)
- 60+ days ago
We're seeking someone to join our team as a Vice President, Artificial Intelligence Compliance Officer in Wealth Management Compliance to provide second-line oversight, advisory support, and...
In PersonCorporate Income Tax Compliance Consultant (5 days onsite- Dallas)
- Resources Global Professionals
- Dallas, TX (18 miles from Plano, TX)
- 60+ days ago
- Dallas, TX (18 miles from Plano, TX)
- 60+ days ago
About This Role As a Tax Professional, you will assist our Clients with their U.S. Federal, State, and Local income tax compliance requirements for the tax year. In this role, you will lead and...
In PersonDemographic Data for Plano, TX
Moving to Plano, TX? Find some basic demographic data about Plano, TX below.
Compliance Specialist Online Courses and Training Opportunities
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Salary for Compliance Specialist Jobs in Plano, TX
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Plano, 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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