Compliance Job Description
Compliance
provides expertise and oversight for all aspects of state insurance licensing to ensure compliance with laws/regulations and internal policies/procedures.
Compliance Duties & Responsibilities
To write an effective compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Assists in reviewing exception reports to monitor employee adherence to organizational policies and procedures related to compliance
Establish a coordinated test plan to effectively capture and review key issues raised and ensures testing is completed in compliance with the corporate and Global Compliance Monitoring and Testing Standards
Partner with Compliance colleagues in other regions in the Commercial Bank to support the business needs while ensuring compliance with all regulatory requirements
Reviewing expense allocations to ensure compliance with internal policies and procedures
Assisting in preparation of Rule 206(4) annual review of compliance policies and procedures
Providing oversight of the firm’s compliance program to ensure that the company’s futures, FX, and derivatives trading activities comply with applicable rules and statutory requirements of the Dodd-Frank Act and self-regulatory organizations, including opining on the adequacy and effectiveness of the compliance program
Performing compliance testing to ensure the adequacy of our compliance program, which may include testing adherence to the company’s policies regarding brokerage, best execution, allocation, insider trading, and related matters
Conducts research and prepares documents to assist in compliance reviews
Assists in compliance reviews of sales and marketing literature and disclosures required by regulatory agencies
Review for Compliance issues
Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Compliance
List any licenses or certifications required by the position: CAMS, CRCM, CISSP, ISO, FINRA, CPC, CFE, GIAC, GCF, PTCRB
Education for Compliance
Typically a job would require a certain level of education.
Employers hiring for the compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Education, Business, Finance, Healthcare, Law, Accounting, Health, Business/Administration, Financial Services, Legal
Skills for Compliance
Desired skills for compliance include:
Excel
Regulations
PowerPoint
Excel and PowerPoint
Word
Procedures
Microsoft Office
Compliance
State
Laws
Desired experience for compliance includes:
Ability to follow specific, detailed instructions by supervisor and defer non-routine matters to supervisor for follow up
Maintains files of regulatory filings
Thorough understanding with portfolio management concepts, ERISA and the Investment Advisers Act of 1940
Regulatory, Compliance or Auditing experience (7-10 years)
Background in collections and collections litigation
Ability to conclude on risk based results relative to testing outcomes
Compliance Examples
1
Compliance Job Description
Job Description Example
Our company is searching for experienced candidates for the position of compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance
- Assisting with reviews and surveillance activities, including without limitation email surveillance, pursuant to the Department's Compliance Program and annual Rule 206(4)-7 compliance review
- Developing and conducting ad hoc forensic testing pursuant to the Compliance Program, under supervision of a senior compliance officer
- Assisting Senior Compliance Officers with various other compliance initiatives, as needed
- Provide front and back office guidance on compliance and regulatory requirements pertaining to on boarding clients, risk management, position limits, electronic trading, margin compliance, money movements, hedge exemptions, errors and corrections, position transfers, privately-negotiated trades (Blocks and EFRPs), and cleared OTC activity
- Maintain and update compliance information within channel management systems
- Coordinating and responding to regulatory and/or compliance examinations conducted by internal or external parties
- Assisting with a variety of regulatory and client reporting efforts, including monthly reporting to clients regulated by the Investment Company Act of 1940, under supervision of a senior compliance officer
- Assisting with the tracking and maintenance of employee securities licenses and several compliance requirements relating to the adviser's limited purpose broker-dealer
- Work with the Compliance Surveillance Team to enhance the Surveillance Program and improve existing surveillance program
- Serves as a backup for compliance monitoring of timely reviews of potential violations of investment guidelines
Qualifications for compliance
- Strong background in conducting compliance work related to regulatory matters
- Provide business and technical expertise in developing/performing data analysis and reporting in an Access, Excel or PowerPoint environment(s), to support standard/ad hoc reporting
- Monitor electronic communications to ensure compliance with company policy, SEC and FINRA rules and regulations
- Ability to travel 35% (mostly regional)
- Bachelor’s degree and/or 8-10 years of Accounts Payable and five+ years of management experience
- Experience with accounts payable processes within a large ERP A/P system (SAP preferred)
2
Compliance Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of 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 compliance
- Provide regulatory/compliance training as needed
- Assist the Compliance Department in the monitoring of internal reports sourced from internal Anti-Money Laundering System
- Assist Management and Compliance Managers with any new assignment, project, or initiative
- Under the direction of senior compliance personnel, provide advice and guidance to the firm’s Asset Management division relating to its direct / real assets (timber, agriculture, infrastructure, oil and gas properties ) and real estate investment programs
- Conduct monitoring and oversight of the investments, including compliance certifications and attestations
- Assist in the completion of various regulatory disclosure documents under the supervision of the senior compliance officers
- Scan copies of all OBA and PI forms, related supporting documentation and Compliance approval/rejection email and save to shared drive
- Draft Compliance approval / rejection e-mails
- Acquired programmes for tru TV and TCM channels
- Product Placements
Qualifications for compliance
- Advanced Excel spreadsheet capabilities
- Assist with the tracking of regulatory and legal developments having an impact across Canadian Banking business lines
- 3 - 5 years industry experience and/or 1 - 3 years progressive asset management compliance experience
- Promotions/Trailers
- Advising throughout the production process on pre and post broadcasting issues
- Advising the On-air department on promotions
3
Compliance Job Description
Job Description Example
Our company is hiring for a 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 compliance
- Oversee, review and approve completed compliance analysis conducted by direct reports for reviews of prospectuses and other investment management agreements
- Coordinate and conduct on-going IA testing as related to portfolio compliance
- Review for HR and Compliance issues
- Understand current state of reporting for respective internal customer
- Rationalize the current state of reporting
- Contribute to the development and delivery of compliance education and training
- Report directly to and frequently communicates with the COO and other key executives to ensure all compliance needs are being met
- Work closely with the firm's Compliance consultants to ensure all regulatory requirements are being adhered to
- Interface with Legal counsel on various compliance areas
- Identify local regulatory requirements and perform compliance review
Qualifications for compliance
- Experience implementing compliance policies and procedures
- Ofcom
- BBFC
- Minimum of 2 years’ professional experience in matters related to compliance with the Advisers Act
- Previous compliance experience in a finacial organisation
- Knowledge and experience in commercial, banking, consumer and administrative law and corporate law of China are preferred
4
Compliance Job Description
Job Description Example
Our company is hiring for a 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 compliance
- Review and approve investment adviser and broker dealer communications and marketing materials for compliance with applicable regulatory requirements and internal compliance policies
- Develop and monitor compliance reporting program and identify opportunities to continuously improve the program
- Assist with investigations into issues raised through compliance monitoring and reporting
- Coordinate corrective action plans to ensure compliance with Company policies
- Edit and reversion according to Discovery tech specs, edit instructions and style guides using Avid Media Composer
- Engage with the Reversioning, Promo teams to maintain the look and feel of the Discovery channels
- Able to thoroughly carry out metadata entry tasks
- Prioritize and deal with certain queries as quickly and efficiently as possible
- Log any technical or operational errors they experience on their shift
- You may be required to work shifts (days, nights and weekends shifts)
Qualifications for compliance
- Ability to contribute productively, working independently and on a team
- Advanced knowledge of Avid Media composer is a must
- Ability to diagnose and repair erroneous content
- Basic level of After Effects is required
- Symphony is a distinct advantage
- Minimum of 3 - 5 plus years’ experience with, or exposure to, business functions such as compliance, audit, legal or regulatory affairs
5
Compliance Job Description
Job Description Example
Our growing company is looking to fill the role of 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 compliance
- Act as person in charge for each business unit to have the latest update to maintain and preserve the accuracy of Compliance Database so that the Compliance Database will always indicate the latest fact
- To provide trainings to all employees in order to enhance the awareness of the employees upon the implementation of compliance matters upon the applicable laws in Indonesia and any internal company policies
- Develop, plan and perform compliance testing and inspections of materials, process and/or products that independently evaluate the adequacy, comprehensiveness and effectiveness of AML, privacy, record management, training and compliance monitoring and testing functions
- Testing potential guideline rules and proposed enhancements to the proprietary compliance restriction system to ensure accuracy before implementation
- Assisting Client Service and Client Accounting departments by helping resolve and communicate to clients regarding any compliance-related issues
- Performing daily compliance exceptions monitoring by analyzing and validating exceptions
- Preparing customized monthly, quarterly client and mutual fund compliance reports
- To communicate the company’s compliance related policy and regulatory requirements to all of the companies including all of the employees
- Act as contact point with governmental institutions in relation with compliance matters
- To provide necessary information for compliance matters in relation with the government for general provisions
Qualifications for compliance
- 3+ years Compliance experience with a Registered Investment Advisor or Broker Dealer
- Advanced knowledge of consumer privacy regulations
- Research ability and interest in the political aspects of broadcast regulation
- Must be computer savvy (MS Office Suite)
- Working with in-house counsel to monitor and implement responses to regulatory actions that impact the funds
- Fluent in both English and Chinese is a must