Position Summary The Compliance & AML Analyst supports the Firm in executing its regulatory and supervisory responsibilities. This person reports to the Broker Dealer and RIA Chief Compliance ...
Quick apply
Position Summary The Compliance & AML Analyst supports the Firm in executing its regulatory and supervisory responsibilities. This person reports to the Broker Dealer and RIA Chief Compliance ...
PR · On-site
Position Summary The Compliance & AML Analyst supports the Firm in executing its regulatory and supervisory responsibilities. This person reports to the Broker Dealer and RIA Chief Compliance ...
Quick apply
PR · On-site
Position Summary The Compliance & AML Analyst supports the Firm in executing its regulatory and supervisory responsibilities. This person reports to the Broker Dealer and RIA Chief Compliance ...
PR · On-site
Excellent analytical and problem-solving skills with experience in deviation analysis and root ... develop and maintain compliance tracking systems and procedural controls. 10. Experience in ...
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PR · On-site
Excellent analytical and problem-solving skills with experience in deviation analysis and root ... develop and maintain compliance tracking systems and procedural controls. 10. Experience in ...
PR · On-site
Previous experience as a compliance analyst in a related field, preferred. * Knowledge of pharmacy industry or managed care compliance requirements and standards, preferred.
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PR · On-site
Previous experience as a compliance analyst in a related field, preferred. * Knowledge of pharmacy industry or managed care compliance requirements and standards, preferred.
PR · On-site
Previous experience as a compliance analyst in a related field, preferred. * Knowledge of pharmacy industry or managed care compliance requirements and standards, preferred.
Quick apply
PR · On-site
Previous experience as a compliance analyst in a related field, preferred. * Knowledge of pharmacy industry or managed care compliance requirements and standards, preferred.
PR · On-site
POSITION SUMMARY The Compliance Associate reports directly to the Compliance Director and plays a ... Skill in analyzing situations accurately and taking effective action. * Demonstrated effective ...
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Compliance Engineer Position Summary The Compliance Engineer will support capital projects and ... Strong organizational, analytical, and problem-solving skills with attention to detail and the ...
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Compliance Engineer Position Summary The Compliance Engineer will support capital projects and ... Strong organizational, analytical, and problem-solving skills with attention to detail and the ...
Compliance Engineer Position Summary The Compliance Engineer will support capital projects and ... Strong organizational, analytical, and problem-solving skills with attention to detail and the ...
Quick apply
Compliance Engineer Position Summary The Compliance Engineer will support capital projects and ... Strong organizational, analytical, and problem-solving skills with attention to detail and the ...
Compliance Engineer
Punta Santiago, PR · On-site
Compliance Engineer Position Summary The Compliance Engineer will support capital projects and ... Strong organizational, analytical, and problem-solving skills with attention to detail and the ...
Compliance Engineer
Punta Santiago, PR · On-site
Compliance Engineer Position Summary The Compliance Engineer will support capital projects and ... Strong organizational, analytical, and problem-solving skills with attention to detail and the ...
Compliance Engineer Position Summary The Compliance Engineer will support capital projects and ... Strong organizational, analytical, and problem-solving skills with attention to detail and the ...
Quick apply
Compliance Engineer Position Summary The Compliance Engineer will support capital projects and ... Strong organizational, analytical, and problem-solving skills with attention to detail and the ...
Compliance Engineer Position Summary The Compliance Engineer will support capital projects and ... Strong organizational, analytical, and problem-solving skills with attention to detail and the ...
Quick apply
Compliance Engineer Position Summary The Compliance Engineer will support capital projects and ... Strong organizational, analytical, and problem-solving skills with attention to detail and the ...
Compliance Engineer
Punta Santiago, PR · On-site
Compliance Engineer Position Summary The Compliance Engineer will support capital projects and ... Strong organizational, analytical, and problem-solving skills with attention to detail and the ...
Compliance Engineer
Punta Santiago, PR · On-site
Compliance Engineer Position Summary The Compliance Engineer will support capital projects and ... Strong organizational, analytical, and problem-solving skills with attention to detail and the ...
Compliance Engineer Position Summary The Compliance Engineer will support capital projects and ... Strong organizational, analytical, and problem-solving skills with attention to detail and the ...
Quick apply
Compliance Engineer Position Summary The Compliance Engineer will support capital projects and ... Strong organizational, analytical, and problem-solving skills with attention to detail and the ...
PR · On-site
ESSENTIAL FUNCTIONS: (A summary of the purpose of the position) Our Compliance Specialist will perform administrative tasks to ensure all compliance functions are completed; and, will be responsible ...
PR · On-site
ESSENTIAL FUNCTIONS: (A summary of the purpose of the position) Our Compliance Specialist will perform administrative tasks to ensure all compliance functions are completed; and, will be responsible ...
Tax Analyst Senior
San Juan, PR · On-site
$55K - $60K/yr
DECA Analytics, LLC is a Puerto Rico-based boutique advisory firm specializing in the unique ... Ongoing Compliance: We manage all ongoing incentives and operational compliance filings required ...
Quick apply
Tax Analyst Senior
San Juan, PR · On-site
$55K - $60K/yr
DECA Analytics, LLC is a Puerto Rico-based boutique advisory firm specializing in the unique ... Ongoing Compliance: We manage all ongoing incentives and operational compliance filings required ...
Tax Analyst Senior
San Juan, PR · On-site
$112K - $112K/yr
DECA Analytics, LLC is a Puerto Rico-based boutique advisory firm specializing in the unique ... Ongoing Compliance: We manage all ongoing incentives and operational compliance filings required ...
Quick apply
Tax Analyst Senior
San Juan, PR · On-site
$112K - $112K/yr
DECA Analytics, LLC is a Puerto Rico-based boutique advisory firm specializing in the unique ... Ongoing Compliance: We manage all ongoing incentives and operational compliance filings required ...
Tax Analyst Senior
San Juan, PR · On-site
$60K - $70K/yr
DECA Analytics, LLC is a Puerto Rico-based boutique advisory firm specializing in the unique ... Ongoing Compliance: We manage all ongoing incentives and operational compliance filings required ...
Quick apply
Tax Analyst Senior
San Juan, PR · On-site
$60K - $70K/yr
DECA Analytics, LLC is a Puerto Rico-based boutique advisory firm specializing in the unique ... Ongoing Compliance: We manage all ongoing incentives and operational compliance filings required ...
The Grant Compliance Specialist supports post-disaster recovery and mitigation programs by ... Responsibilities include policy analysis, development of program guidelines and standard operating ...
The Grant Compliance Specialist supports post-disaster recovery and mitigation programs by ... Responsibilities include policy analysis, development of program guidelines and standard operating ...
Responsibilities include policy analysis, development of program guidelines and standard operating ... compliance controls, and improve program performance. The position requires strong writing ...
Responsibilities include policy analysis, development of program guidelines and standard operating ... compliance controls, and improve program performance. The position requires strong writing ...
Knowledge of 2 CFR 200 and Stafford Act compliance and program implementation under such ... analytical and problem-solving skills High level of integrity and discretion Ability to work ...
Knowledge of 2 CFR 200 and Stafford Act compliance and program implementation under such ... analytical and problem-solving skills High level of integrity and discretion Ability to work ...
Compliance Analyst information
What are the key skills and qualifications needed to thrive as a Compliance Analyst, and why are they important?
To thrive as a Compliance Analyst, you need a strong understanding of regulatory frameworks, risk assessment, and analytical skills, usually complemented by a bachelor’s degree in finance, business, or a related field. Familiarity with compliance management software, regulatory reporting systems, and certifications like Certified Regulatory Compliance Manager (CRCM) are often required. Attention to detail, integrity, and effective communication are critical soft skills for ensuring organizational adherence to laws and policies. These skills and qualities are essential for mitigating risk, maintaining legal compliance, and protecting the organization’s reputation.
How does a Compliance Analyst typically collaborate with other departments within an organization?
Compliance Analysts regularly interact with teams such as legal, risk management, operations, and internal audit to ensure that company processes align with regulatory requirements. They may lead or participate in cross-functional meetings to discuss policy updates, review potential compliance risks, and help design training programs. This collaborative environment helps Compliance Analysts identify potential issues early and develop practical solutions that fit the organization's workflow, making strong communication and teamwork essential skills for success.
What degree do you need to be a compliance analyst?
A compliance analyst typically needs at least a bachelor's degree in fields such as business, finance, law, or a related discipline. Relevant skills include knowledge of regulations, attention to detail, and sometimes certifications like Certified Compliance & Ethics Professional (CCEP) or Certified Regulatory Compliance Manager (CRCM).
What Is a Compliance Analyst?
A compliance analyst helps ensure that an organization’s products or processes meet compliance specifications. Analysts may work under a compliance officer or chief compliance officer. Their responsibilities range from tasks such as evaluating work safety policies to reviewing data security and conducting compliance training. Job duties depend on the sector and employer. For example, in the financial sector, analysts might look at accounting practices and audit expenses and income figures. In health care, they may examine HIPAA compliance. Computer skills and knowledge of applicable regulations are helpful in this field. You can be a compliance analyst in almost any industry, with many jobs in health care, government, finance, and insurance.
What do compliance analysts earn?
Compliance analysts typically earn a median annual salary of around $60,000 to $80,000, depending on experience, location, and industry. Entry-level positions may start lower, while experienced analysts or those with certifications can earn higher salaries, often supplemented with benefits and bonuses.
What is a Compliance Analyst?
A Compliance Analyst is a professional responsible for ensuring that an organization adheres to external regulatory requirements and internal policies. They monitor business processes, evaluate compliance risks, and implement procedures to prevent violations of laws and regulations. Compliance Analysts often conduct audits, prepare reports, and provide training to staff about compliance matters. Their work helps organizations avoid legal penalties and maintain ethical standards.
What is the difference between Compliance Analyst vs Risk Analyst?
| Aspect | Compliance Analyst | Risk Analyst |
|---|---|---|
| Required Credentials | Bachelor's degree, certifications like CFE or CAMS often preferred | Bachelor's degree, certifications like FRM or CRM often preferred |
| Work Environment | Financial institutions, healthcare, corporate compliance departments | Financial services, insurance, corporate risk management teams |
| Employer & Industry Usage | Regulatory agencies, banks, healthcare providers | Financial firms, insurance companies, consulting firms |
Compliance Analysts focus on ensuring organizations adhere to laws and regulations, while Risk Analysts assess potential risks to the organization. Both roles require similar credentials and often work in related industries, but their core responsibilities differ in scope and focus.
Is compliance analyst an entry-level job?
A compliance analyst role can be entry-level or require some experience, depending on the organization. Entry-level positions typically require a bachelor's degree in a related field and may involve training on compliance regulations and tools. More advanced roles may require prior experience or certifications such as Certified Compliance & Ethics Professional (CCEP).
What skills are needed to be a compliance analyst?
A compliance analyst needs strong analytical skills, attention to detail, and knowledge of relevant laws and regulations. Proficiency in data analysis tools, report writing, and risk assessment is also important. Certifications such as Certified Compliance & Ethics Professional (CCEP) can enhance qualifications.
What does a compliance analyst do?
A compliance analyst is responsible for ensuring that an organization adheres to legal regulations, industry standards, and internal policies. They review processes, conduct audits, and develop reports to identify and mitigate compliance risks, often using tools like compliance management software. Strong attention to detail and knowledge of relevant laws are essential for this role.
More about Compliance Analyst jobs
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What are popular job titles related to Compliance Analyst jobs in Puerto Rico? For Compliance Analyst jobs in Puerto Rico, the most frequently searched job titles are:
What job categories do people searching Compliance Analyst jobs in Puerto Rico look for? The top searched job categories for Compliance Analyst jobs in Puerto Rico are:
What are popular job titles related to Compliance Analyst jobs in PR? For Compliance Analyst jobs in PR, the most frequently searched job titles are:
Full-time
Posted 28 days ago
Job description
Position Summary
The Compliance & AML Analyst supports the Firm in executing its regulatory and supervisory responsibilities. This person reports to the Broker Dealer and RIA Chief Compliance Officers. This role is ideal for a detail-oriented professional with a strong understanding of compliance operations, documentation standards, and surveillance systems. The Compliance Officer will assist in monitoring daily activities, maintaining records, and supporting internal audits and training efforts.
Key Responsibilities
Compliance Monitoring & Support
- Monitoring proposed, adopted, and amended rules and regulations (FINRA, SEC, MSRB, state regulations, etc.)
- Perform FINRA Branch Office Inspections
- 3120/3130 and 206(4)-7 annual testing for FINRA and SEC
- Manage the Firm’s continuing education program for Registered Persons.
- Review and Approval of customer new accounts, AML/KYC, ongoing monitoring of trading activity, and Regulation Best Interest compliance.
- Assist in monitoring communications through surveillance platforms (e.g., Actimize, Global Relay, Sycamore/Investedge)
- Advisory Testing Reviews
- Participate in compliance program testing, which includes transactional and periodic testing of supervisory controls
- Review documentation of Financial Crime Enforcement Network (FinCEN) postings.
- Review and monitor approval requests for new personal trading accounts, personal trading, outside activities and business gifts, meals and entertainment for employees of the Firm.
- Support documentation of disclosures, suitability reviews, and client communications
- Compile data for monthly and quarterly compliance reports
- Support the Compliance Department in preparing presentations and memos
- Respond to routine compliance inquiries from staff and registered representatives
- Help draft internal communications regarding policy updates and regulatory changes
Qualifications and Skills
- FINRA Series 7 certification is required.
- FINRA Series 24 certification is also required or ability to obtain within 3 months of hire. Series 4 and 79 a plus.
- Education: Bachelor’s degree in Finance, Business Administration, or related field
- Experience: 4-5 years in financial services compliance or operations
- Familiarity with FINRA, SEC, and AML regulations
- Ability to understand complex rules and regulations and communicate them to all levels of staff, including management, within all departments and discuss them with external relationships and to develop and implement appropriate procedures
- Must show the ability to manage multiple projects, make quick decisions, use prioritization skills, and concentrate on detailed information in a fast-paced work environment and meet deadlines
- Strong organizational and analytical skills
- Proficiency in Microsoft Office Suite and compliance platforms
- Bilingual (English/Spanish) preferred
- Lexis Nexis
Work Environment
This role is based in a professional securities office in Guaynabo, Puerto Rico. It requires a polished, compliance-focused demeanor and may involve occasional overtime to meet regulatory deadlines or support audits.
Equal Employment Opportunity Statement
We are an Equal Employment Opportunity employer. We are committed to providing a workplace free from discrimination or harassment based on race, color, religion, creed, sex, gender identity or expression, sexual orientation, national origin, age, disability, marital status, veteran status, genetic information, or any other protected status under applicable federal, state, or local laws. We value diversity and encourage individuals from all backgrounds to apply.