Analyst, Regulatory Compliance Job Description
Analyst, regulatory compliance
provides formal reports regarding the evaluation of the effectiveness of controls in relation to laws and regulations impacting the business to senior Compliance and business management.
Analyst, Regulatory Compliance Duties & Responsibilities
To write an effective analyst, regulatory compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included analyst, regulatory compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Review of quarterly compliance information provided by subadvisers
Assisting Fund CCO in annual review of subadvisers and other Fund external service providers
Assisting in preparation of Board materials relating to initial compliance review of subadvisers, quarterly compliance reports provided by subadvisers and annual Fund CCO review of subadvisers and other external Fund service providers
Coordinating responses to subadviser-related compliance issues as they arise from time to time
Maintain the firm’s Risk Register and monitor the design and operating effectiveness of controls documented and currently in practice
Adopt, implement and maintain compliance policies and procedures
Monitor regulatory exam findings and, through assurance, ascertain remediation and best practices for processes going forward
Oversee the maintenance, monitoring, and administration of the firm’s Code of Ethics
Oversee the delivery and completion of training to firm employees
Serve as a resource to the Business to provide advisory services relating to regulatory risk and other compliance obligations
Analyst, Regulatory Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Analyst, Regulatory Compliance
List any licenses or certifications required by the position: JIFSAN, CRCM, CRISC, CISSP, CISM, CISA, NISM, NCFM, ISO, ASQ
Education for Analyst, Regulatory Compliance
Typically a job would require a certain level of education.
Employers hiring for the analyst, regulatory compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Business, Finance, Education, Accounting, Business/Administration, Law, Science, Technical, Engineering, Computer Science
Skills for Analyst, Regulatory Compliance
Desired skills for analyst, regulatory compliance include:
Banking with a good understanding of banking regulatory frame work
Compliance will be an advantage
Business operations of SLF and particularly SLF Canada
Microsoft Office and internet/web navigation
Regulations
Audit environments
Canadian regulations
Customer Due Diligence
Know Your Customer
RC & FCC team and with the active participation of senior managers in the Business
Desired experience for analyst, regulatory compliance includes:
Background in public accounting/Consulting is a plus
Strong technical proficiency in Excel and Windows applications
Must be able to work in a fast paced regulatory environment
Candidate should have excellent organizational and inter-personal skills
Experience in a financial services-related environment
Possess a solid understanding of Software Development Life Cycle (SDLC) using Waterfall methodology
Analyst, Regulatory Compliance Examples
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Analyst, Regulatory Compliance Job Description
Job Description Example
Our company is searching for experienced candidates for the position of analyst, regulatory compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for analyst, regulatory compliance
- Outlines the applicable regulations and assisting with determining how systems should respond given specific scenarios
- Support the Regulated Entities’ rate case applications with the FERC as initiated by management and as required by FERC regulations
- Support the Regulated Entities’ compliance with FERC regulations, as they may exist or change from time to time, including, but not limited to, compliance with and internal training on FERC Standards of Conduct
- Train appropriate personnel on all activities required to ensure compliance with FERC regulations
- Develop and operationalize changes to our monitoring practices required as a result of changes to Independence Policies
- Establish metrics for the processes managed to identify changes in trends, implications of policy and process changes, and monitor productivity
- Ensure that team target metrics are monitored and achieved
- Assist with the resolution of issues that arise with the process, system, or internal customers
- Consult with department leaders and their teams on independence policy and quality control matters
- Gain proficiency in the end user and administrative functionality of the internal system used by professionals to record personal investments and monitor independence compliance
Qualifications for analyst, regulatory compliance
- Experience with managed funds and advisers, regulatory experience with US registered investment companies preferred
- Must have previous experience in Compliance related technologies
- Possess college degree
- 1 to 3 years in Operations/Compliance related field , preferred
- At least 5 to 7 years of experience as business analyst
- Experience working on large scale regulatory projects, especially within Financial Crime Compliance environment
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Analyst, Regulatory Compliance Job Description
Job Description Example
Our growing company is searching for experienced candidates for the position of analyst, regulatory compliance. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for analyst, regulatory compliance
- Assist the Segment (business) in the development of action plans
- Assist in Compliance risk assessment/reporting processes
- Amplement key performance metrics across business
- Escalate negative trends observed
- Role will require the ability to challenge/ ensure completeness of work within Risk teams, represented business line
- Individual will have a defined authority level to negotiate with business to alter processes or quality execution designs
- Track agreed actions and course correct with business as needed (granted authority)
- Consult with management regarding risks, exposures or control profiles and maintain contact with 2nd LOD peers to help define communications of risk culture/ tolerances
- Responsible for providing data entry to support compliance and financial reporting
- Provides compliance reporting on jurisdiction financials/
Qualifications for analyst, regulatory compliance
- Experience of any computer programming (C++/JAVA/etc)
- Experience on Business Rules Management Systems (BRMS) will be a plus
- Excellent presentation skills - ability to produce high quality written materials
- Ability to prioritize, organize and multitask effectively in an environment where priorities can quickly change
- Strong analytical, research and problem-solving skills including project management and process improvement
- Excellent interpersonal skills and the ability to present performance feedback effectively
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Analyst, Regulatory Compliance Job Description
Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of analyst, regulatory compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for analyst, regulatory compliance
- Monitor and research employee personal trading and potential Code of Ethics violations
- Assist and/or coordinate with regulators, auditors and business unit management with regulatory exams and inquiries
- Researching and responding to nutrient, ingredient and recipe related information request to support internal business operations and processes, consumer inquiries, and customer requests
- Assisting and supporting the Associate Director, Nutrition, and Nutrition and Regulatory Compliance managers on other nutrition projects as needed
- Validate and analyze data, documents, and information delivered to regulatory entities
- Act as compliance liaison and compliance expert for regulatory inquiries and examinations of the firm and its affiliates
- Gather applicable documents and draft responses to routine and in-depth regulatory inquiries, including sweeps, regarding the firm’s and affiliate’s business, policies and/or procedures within stated deadlines
- Work with other departments, including senior managers and legal counsel, to resolve issues noted in regulatory examinations
- Review rulemaking and guidance from a variety of sources to remain current on industry rules
- Perform compliance-related reviews to various inquiries or projects and determines whether they fall within the firm’s guidelines
Qualifications for analyst, regulatory compliance
- Mutual Fund and/or Alternative Fund Accounting experience, preferred
- A minimum of 6 years of experience in a medium to large corporate organization
- Knowledge of financial institution IT regulatory requirements including working knowledge of evaluating risk management processes to ensure effective IT management
- Knowledge of enterprise risk management processes in finance industry
- Experience with FFIEC guidelines, PMI and COBIT process framework, SOX controls, and KYC
- Experience in developing and delivering presentations to senior management outlining program benefits, status, issues and recommendations
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Analyst, Regulatory Compliance Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of analyst, regulatory compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for analyst, regulatory compliance
- Monitor legal and regulatory developments in the financial services industry, specifically those regulations which impact Treasury policies
- Interprets evaluates and applies regulations, industry standards and customer requirements to proposed and existing products
- Support the business in scoping out the User Requirements
- Arrange and manage vendor/solution assessments, as necessary conduct RFP process
- Consult with other IS functions to complete pre project documentation
- Support detailed documentation of Functional Requirements
- As directed engage with consulting services and internal resources to deliver configuration requirements
- Provide detailed subject matter expertise to the assigned project team to ensure that scope and approved requirements are being delivered to the correct levels and standards
- Input to Project risk and issues and support resolution
- Input to and support UAT
Qualifications for analyst, regulatory compliance
- Ability to manage resources, including key stakeholders, costs, quality, and time for multiple tasks
- Well versed in functional setup and knowledge of Enterprise Data Warehouse
- Well-versed in industry trends in functional area, Market Intelligence and vendors where applicable
- Strong knowledge of accounting and finance principles and practice under US GAAP and IFRS
- Strong analytical skills, with the ability to integrate these skills with BPC
- Strong communication and interpersonal skills with the ability to clearly explain and discuss issues with stakeholders
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Analyst, Regulatory Compliance Job Description
Job Description Example
Our innovative and growing company is looking for an analyst, regulatory compliance. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for analyst, regulatory compliance
- Responsible to review ingredient lists for personal care products to ensure they adhere to government regulations
- Strong understanding of US, Asia, Europe & Latin America laws and regulations to assist Manager and global cross-functional partners as needed
- Prepare drafts of policies and procedures by working closely with various teams both within and outside Treasury
- Coordinate tracking, review and amendment process for all global Treasury liquidity, funding and capital policies and procedures
- Manage annual policy review process through senior management governance bodies
- Prepare preliminary drafts of governance committee charters and assist in developing formalized governance process for Corporate Treasury oversight committees
- Develop and manage IT initiatives that support tracking and management of global treasury functions, relevant regulatory developments and requirements
- Responsible for the management of regulatory compliance, regulatory / quality information
- Provides consultation in effort to complete regulatory information in support of commercialization and related processes
- Respond to food legislation queries from internal customers
Qualifications for analyst, regulatory compliance
- Proficient in SAP BPC and BI, PeopleSoft, Business Objects
- Minimum of six (6) years’ experience in international trade/compliance, international business or managing international agreements, ideally for Aerospace & Defense company or related experience (including international compliance, international business development or contracts) with relevant Bachelor’s degree
- Ability to develop and maintain close working relationships with assigned businesses
- Understanding of various scientific regulatory frameworks
- 5+ years audit, compliance, business quality assurance related experience required
- Experience testing against regulatory requirements preferred