Compliance Specialist Jobs in Wauwatosa, WI
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.
Responsible for providing support, building relationships and consulting across the enterprise to advance the company's compliance culture while ensuring business objectives are achieved. This...
Financial Compliance Specialist
- Milwaukee, WI (4 miles from Wauwatosa, WI)
- 5 days ago
- Milwaukee, WI (4 miles from Wauwatosa, WI)
- 5 days ago
The main responsibility of the eComm Analyst position involves reading and reviewing financial representative and client correspondence/emails, and flagging those communications for additional...
Risk and Compliance Analyst - US Based Remote
- Milwaukee, WI (4 miles from Wauwatosa, WI)
- 21 days ago
- Milwaukee, WI (4 miles from Wauwatosa, WI)
- 21 days ago
Information security and Data Privacy are at the core of Anywhere and your work efforts will help identify, protect, and govern sensitive data for our business areas as well as internal and...
Remote WorkSr. Regulatory Compliance Analyst
- Milwaukee, WI (4 miles from Wauwatosa, WI)
- 30+ days ago
- Milwaukee, WI (4 miles from Wauwatosa, WI)
- 30+ days ago
What part will you play? If youre looking for a place where you can make a meaningful difference, youve found it. The work we do at Markel gives people the confidence to move forward and seize...
Demographic Data for Wauwatosa, WI
Moving to Wauwatosa, WI? Find some basic demographic data about Wauwatosa, WI below.
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Salary for Compliance Specialist Jobs in Wauwatosa, WI
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Wauwatosa, WI 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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