Analyst / Senior Analyst Compliance Job Description

Analyst / Senior Analyst Compliance Job Description

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Analyst / senior analyst compliance provides monitoring and analysis of state and federal policies, legislation, and regulations that may impact ACT Aspire state-level business.

Analyst / Senior Analyst Compliance Duties & Responsibilities

To write an effective analyst / senior analyst compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included analyst / senior analyst compliance job description templates that you can modify and use.

Sample responsibilities for this position include:

Lead the development and implementation of company procedures and administration of training and projects to support compliance with export regulations and company policies
Administer and maintain export record retention in accordance with the Foreign Trade Regulations and company policy
Lead the identification of data analytic opportunities and perform data analysis procedures in support of new and ongoing audit projects and leverage technology and analytics in connection with risk assessment and audit execution processes
Acting as compliance lead on business development projects
Responding to consultations undertaken by bodies such as the European Commission, ESMA, IOSCO, HM Treasury and FCA
Producing lobbying materials addressed to the European Commission, European Parliament, ESMA and MEPs
Producing and reviewing internal compliance policies and controls
Day to day interaction with FCA
Developing and delivering training to staff and board members
Manage any regulatory filings with FCA (or overseas regulators)

Analyst / Senior Analyst Compliance Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Analyst / Senior Analyst Compliance

List any licenses or certifications required by the position: CISA, CPA, CIA, CISM, CRISC, CISSP, CIPP, AEO, PMI, PMP

Education for Analyst / Senior Analyst Compliance

Typically a job would require a certain level of education.

Employers hiring for the analyst / senior analyst compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Business, Finance, Education, Accounting, Legal, MBA, Law, Project Management, Business/Administration, Computer Science

Skills for Analyst / Senior Analyst Compliance

Desired skills for analyst / senior analyst compliance include:

Experience with Equity
Fixed Income and Balanced products
Institutional and proprietary products
UCITS funds
Laws
State regulations
Regulations in area of compliance
Regulations
Ability to use standard industry programs and websites
Insurance principles procedures and best practices

Desired experience for analyst / senior analyst compliance includes:

Support production of reports for the Audit, Risk and Compliance Committee and the Regulatory Decisions Committee
Ideally will have previous experience within Compliance doing a general role
Car finance exposure (preferable)
This role sits within the EMEA Risk and Compliance team in London
Manage & conduct the post-audit analysis process identify and summarize audit exposure and issues
Oversee the implementation the Columbia's internal control framework

Analyst / Senior Analyst Compliance Examples

1

Analyst / Senior Analyst Compliance Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of analyst / senior analyst 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 / senior analyst compliance
  • Performing research to determine the impact of said changes /updates
  • Support external and internal customer requests
  • Architect and deliver readily-accessible data visualizations and innovative analytics that transform relevant transactional data into useful information to help enhance the OCA Compliance Program
  • Proactively compile regular reports for the RCCO, Compliance Officer Team, and business stakeholders
  • Work across the organization to ensure that the right data is collected, processed, and provided decision makers
  • Build trust relationships with the data custodians/owners, navigate logistical and technical hurdles in obtaining the data and then apply skills and tools to the data to provide insight into the OCA Compliance Program’s effectiveness and efficiency
  • Partner with the information governance teams as a valued advisor
  • Evaluate the OCA’s compliance controls through data analytic monitoring and testing techniques, document results, and provide concise observation reporting to ensure operations are functioning as intended and in adherence with OCA policies/procedures
  • Perform basic and enhanced due diligence KYC screening on new and existing US and Non-US clients
  • Responsible for directing the development and administration of OEC education and training, and development and implementation of Corporate Function monitoring plans
Qualifications for analyst / senior analyst compliance
  • Identifying required changes in systems and processes systems across the ANZ Retail Transaction Monitoring function and, where necessary, providing recommendations for improvement
  • Proposal, design and delivery of solutions that ensure success and benefit realisation
  • Maintaining an open dialogue with users and stakeholders and regular reporting of project costs and progress to management and project stakeholders
  • Compliance and security certifications preferred (ex
  • Familiarity with electronic audit software and six sigma/LEAN practices
  • Greenbelt experience for process improvements
2

Analyst / Senior Analyst Compliance Job Description

Job Description Example
Our company is growing rapidly and is looking for an analyst / senior analyst compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for analyst / senior analyst compliance
  • Review and approve product advertising material for compliance with state advertising laws and regulations
  • Prepare company responses to state insurance departments and regulators including but not limited to insurance department complaints, inquiries and allegations of agent misconducts and sales practices
  • Analyze insurance department complaints and prepare a company response
  • Create and develop insurance and administrative forms such as replacement forms and claims forms
  • Coordinate the process of gathering the information requested for divisional compliance audits, Corporate compliance audits, and examinations by regulators at both the state and federal levels
  • Review and complete responses to state insurance department examiner's criticisms
  • Perform review of escalated cases from analysts
  • Assist with training and mentor new team members as required
  • Work cross-functionally with teams within AML Compliance organization other business units
  • Contribute to the design and development of the FI compliance program and provide guidance to all WUBS/WU teams
Qualifications for analyst / senior analyst compliance
  • Extensive familiarity with database management systems, data warehousing and Extract, Transform, Load (ETL) systems and processes is necessary
  • Understanding of internal control concepts and experience in applying them to plan, perform, manage and report on the evaluation of various business processes/areas/functions are desired
  • Working knowledge of IT networking concepts is preferred
  • Strong analytical reasoning, problem solving, research, and critical thinking abilities are desired
  • Must have outstanding communication capabilities
  • Solid negotiating and project management know how is preferred
3

Analyst / Senior Analyst Compliance Job Description

Job Description Example
Our growing company is looking for an analyst / senior analyst compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for analyst / senior analyst compliance
  • Conducts compliance reviews of business units' operating practices and administrative procedures to identify areas of potential compliance risk
  • Develops an annual testing & monitoring plan for assigned business groups
  • Identifies, monitors and tests key controls, as prescribed by the annual testing & monitoring plan
  • Communicates results of compliance reviews to Senior Compliance Managers
  • Preparing, leading and reporting matrices /process flows that will allow to easily comparing the 404 control environment across all lines of business and RBCs
  • Updating and harmonizing the SOX key control matrices plus the Account Responsibility Matrix
  • Perform special projects, such as Audit Command Language (ACL) testing, and due diligence
  • Support supervisor with above mentioned activities and any projects/transitions etc
  • Develop and use an automated change management process to identify, schedule, notify, and implement compliance changes and requirement to all business units and departments
  • Collaborate with key internal stakeholders within the organization when planning, executing and assessing compliance reporting and disclosure control testing
Qualifications for analyst / senior analyst compliance
  • Ensure assignment and monitoring of remediation plans
  • Strong planning, organizational, analytical, decision making and communication skills
  • Security certification is highly preferred (CISSP, CISA, CRISC, CGEIT)
  • Strong knowledge of the Microsoft Office suite and flowcharting tools such as Visio
  • Strong compliance and risk management skills, CISA, CISM, CISSP Certification
  • 5+ years of progressive work experience, including 3+ years professional IT or legal compliance experience
4

Analyst / Senior Analyst Compliance Job Description

Job Description Example
Our company is hiring for an analyst / senior analyst 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 / senior analyst compliance
  • Evaluate the impact of deficiencies, determine the root cause, and help design remediation plans
  • Prepare presentations, status updates for management and the Audit Committee
  • Champion and execute compliance training and internal control best practices
  • Collaborate with Internal Audit, external auditors, IT Compliance, and process owners to understand processes and determine priorities
  • Proactive research on relevant regulatory and industry best practices for establishing, maintaining, and improving internal controls
  • Collaboration with external auditors to understand PCAOB developments and implications to the Company’s compliance program
  • Advise management of compliance considerations for any reorganizations, system implementations, and/or process changes
  • Provide realistic and actionable advice to SOX owners to support accurate financial information and satisfy regulatory concerns
  • Serve as a compliance resource for the Marketing and Financial Advisors Services teams
  • Program manage internal business partners to ensure timely delivery of compliance reporting and initiatives
Qualifications for analyst / senior analyst compliance
  • CISA, CISSP other related technology governance certifications a plus
  • Familiarity with systems and software development
  • Experience with GRC and controls baselines
  • Familiar with cloud computing and a whole bunch of acronyms like SaaS, IaaS and PaaS
  • Good understanding of the Sarbanes-Oxley law section 404
  • Knowledge of ACL is a plus
5

Analyst / Senior Analyst Compliance Job Description

Job Description Example
Our company is looking to fill the role of analyst / senior analyst compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for analyst / senior analyst compliance
  • As required, lead or assist with any special compliance investigations that may be required to be performed
  • Document controls in place for key compliance risks
  • As necessary, undertake local compliance assignments or initiatives that may be led by regional/global compliance teams
  • Monitor the ongoing effectiveness of the compliance program and proactively identify key activities to drive changes to the testing schedule
  • Ensure quality and timely submission of all relevant country compliance management reporting activities in accordance with local requirements
  • Collaborate and engage with stakeholders on the development and implementation of key business initiatives as related to Compliance with Policy and Regulation
  • Independently lead the development, implementation, and management of global ethical culture-related training, communication, and behavioral change projects
  • Create, maintain, and manage team-related documentation including manuals, training materials, presentations, and reports
  • Evaluate and document manual or labor intensive processes and procedures, and make recommendations for automation and/or continued improvement
  • Assist in Ethics Program innovation and performance measurement, including the implementation of periodic ethical culture surveys
Qualifications for analyst / senior analyst compliance
  • Current Customs Broker License granted by Customs & Border Protection of the Department of Homeland Security
  • Minimum 5 years of experience with processes, information, and analysis involving Partner Government Agencies such as Foreign Trade Zones (FTZ), Supply Chin security - C-TPAT
  • Ability to work independently in a high-pressure environment while simultaneously handling multiple assignments to meet priorities and deadlines
  • Prioritize and manage process improvement by utilizing various tools
  • Bachelor of Science degree in Management Information Systems, Computer Science, or a related technical field required
  • Experience developing, championing, and managing internal compliance programs a plus

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