FIND PERSONALIZED JOBS
Sign up to Zippia and discover your career options with your personalized career search.
Sorry, we can't find that. Please try a different city or state.

Finance Compliance Officer

This job has expired and is no longer available.
APPLY NOW
Apply Now
×
FIND
PERSONALIZED JOBS

Sorry, we can't find that. Please try a different city or state.

CONTENT HAS
BEEN UNLOCKED
Close this window to view unlocked content
or
find interesting jobs in

Log In

Log In to Save

Sign Up to Save

Sign Up to Dismiss

Sign Up

SIGN UP TO UNLOCK CONTENT

or

The email and password you specified are invalid. Please, try again.

Email and password are mandatory

Forgot Password?

Don't have an account? Sign Up

reset password

Enter your email address and we will send you a link to reset your password.

Back to Log In

Log In

Log In to Save

Sign Up to Save

Sign Up to Dismiss

Sign up to save the job and get personalized job recommendations.

Sign up to dismiss the job and get personalized job recommendations.

or

The email and password you specified are invalid. Please, try again.

Email and password are mandatory

Already have an account? Log in

reset password

Enter your email address and we will send you a link to reset your password.

Back to Log In

Company Saved

Answer a few questions and view jobs at that match your preferences.

Where do you want to work?

Job Saved

See your Saved Jobs now

or

find more interesting jobs in

Job Dismissed

Find better matching jobs in

Your search has been saved!

Become A Finance Compliance Officer

Where do you want to work?

To get started, tell us where you'd like to work.
Sorry, we can't find that. Please try a different city or state.

Working As A Finance Compliance Officer

  • $95,000

    Average Salary

What Does A Finance Compliance Officer Do At Deutsche Bank

* Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities
* Advise business areas on firm policies and procedures and applicable securities laws and regulations
* Draft, update, and implement relevant policies and procedures
* Provide regulatory/compliance training
* Assist the business in implementing and documenting various supervisory/control mechanisms.
* Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections
* Interact with federal and state regulators
* Perform testing and monitoring of compliance with firm policies and conduct risk assessments of the business to ensure effective business control framework

What Does A Finance Compliance Officer Do At Raymond James

* Compliance Duties and Responsibilities
* Research, gather and compile data and documents for compliance and regulatory purposes.
* Prepare reports and summaries.
* Reply to inquiries, selecting relevant data from a variety of sources.
* Establish, update and maintain files and records.
* Implement and maintain data management systems.
* Administrative Duties and Responsibilities
* Provide core administrative support and other ad hoc tasks on a daily basis, including processing of expense reports, ordering and organizing supplies, managing office equipment.
* Provide support activities, including answering telephones as needed and reviewing/controlling incoming and outgoing correspondence.
* Track deal flow.
* Assist with producing letters, memoranda, presentations, and reports as necessary.
* Proofread documents for appropriate grammar, punctuation, spelling and numerical consistency.
* Schedule appointments, maintain calendars, and schedule/coordinate meetings, events, and/or travel arrangements, as required.
* Essential Duties and Responsibilities:
* Compliance Duties and Responsibilities
* Research, gather and compile data and documents for compliance and regulatory purposes.
* Prepare reports and summaries.
* Reply to inquiries, selecting relevant data from a variety of sources.
* Establish, update and maintain files and records.
* Implement and maintain data management systems.
* Administrative Duties and Responsibilities.
* Provide core administrative support and other ad hoc tasks on a daily basis, including processing of expense reports, ordering and organizing supplies, managing office equipment.
* Provide support activities, including answering telephones as needed and reviewing/controlling incoming and outgoing correspondence.
* Track deal flow.
* Assist with producing letters, memoranda, presentations, and reports as necessary.
* Proofread documents for appropriate grammar, punctuation, spelling and numerical consistency.
* Schedule appointments, maintain calendars, and schedule/coordinate meetings, events, and/or travel arrangements, as required

Show More

Show Less

Do you work as a Finance Compliance Officer?

Send To A Friend

Finance Compliance Officer Jobs

NO RESULTS

Aw snap, no jobs found.

Add To My Jobs

Do you work as a Finance Compliance Officer?

How Would You Rate The Salary Of a Finance Compliance Officer?

Have you worked as a Finance Compliance Officer? Help other job seekers by rating your experience as a Finance Compliance Officer.

Top Skills for A Finance Compliance Officer

  1. Financial Statements
  2. Ensure Compliance
  3. Internal Procedures
You can check out examples of real life uses of top skills on resumes here:
  • Directed financial management functions including development of monthly financial statements, financial forecasts, and budgets.
  • Reviewed and approved financial and non-financial disclosures to ensure compliance with federal securities regulations and FINRA rules and regulations.
  • Develop and implement internal procedures including a written Compliance manual, Code of Ethics and employee related trading and expense policies.
  • Performed customer identification and verification procedures for JPMC customer transactions to ensure adherence to AML and Trade Sanctions requirements.
  • Managed International Finance consultants where necessary to provide technical accounting and statutory compliance advice not available within the company.

Finance Compliance Officer Demographics

Gender

Male

52.3%

Female

36.4%

Unknown

11.4%
Ethnicity

White

59.0%

Hispanic or Latino

15.8%

Black or African American

11.3%

Asian

10.0%

Unknown

3.9%
Show More
Foreign Languages Spoken

Spanish

56.3%

French

25.0%

Portuguese

6.3%

Dari

6.3%

Persian

6.3%
Show More

Finance Compliance Officer Education

Schools

New York University

7.8%

Fordham University

7.8%

University of Phoenix

7.8%

University of Wisconsin - Whitewater

5.9%

Saint John's University - New York

5.9%

Glendale Community College

5.9%

Santa Clara University

5.9%

University of Georgia

5.9%

Temple University

3.9%

University of Kentucky

3.9%

State University of New York Albany

3.9%

Bryant University

3.9%

State University of New York College of Optometry

3.9%

University of Illinois at Chicago

3.9%

Brigham Young University

3.9%

ITT Technical Institute-Webster

3.9%

Bellevue University

3.9%

Texas A&M University

3.9%

Saint Michaels College

3.9%

Pace University - New York

3.9%
Show More
Majors

Accounting

26.7%

Business

25.2%

Finance

15.3%

Law

7.4%

Economics

3.0%

Health Care Administration

3.0%

Criminal Justice

3.0%

Management

2.0%

Psychology

2.0%

Public Health

1.5%

Legal Research And Advanced Professional Studies

1.5%

Mathematics

1.5%

Business Economics

1.5%

Management Science

1.0%

Computer Science

1.0%

Legal Support Services

1.0%

Legal Studies

1.0%

Environmental Control Technologies/Technicians

1.0%

Real Estate

1.0%

International Business

0.5%
Show More
Degrees

Bachelors

45.4%

Masters

27.5%

Other

10.8%

Doctorate

8.3%

Certificate

3.3%

Associate

2.9%

Diploma

1.3%

License

0.4%
Show More

Job type you want
Full Time
Part Time
Internship
Temporary

How Would You Rate Working As a Finance Compliance Officer?

Are you working as a Finance Compliance Officer? Help us rate Finance Compliance Officer as a Career.

Top Finance Compliance Officer Employers

Jobs From Top Finance Compliance Officer Employers

Related To Your Recently Viewed Content