Compliance Administrator Job Description

Compliance Administrator Job Description

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Compliance administrator provides accurate NCAA, Pac-12 and Institutional interpretations to coaches and staff members through researching the NCAA LSDBi database and collaboration with colleagues at the NCAA and Pac-12 Conference.

Compliance Administrator Duties & Responsibilities

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

Sample responsibilities for this position include:

Prepare and edit basic Excel workbooks
Provides technical and analytical support for internal compliance systems and external databases
Handles administrative functions including data entry and reports creation related to various databases and information management systems used to support the Compliance Department
Process third party drug screen invoices for payment through third party vendor
Ensure all courses are completed under budget and within required timeframe
Oversee assignment of courses to general and targeted employee populations using detailed SAP data, sorting and analysis, and our internal Learning Management System
Provide regular reports showing completion rates, status of assignments, effectiveness of communications efforts and other data points to ensure stakeholders are kept up to date regarding the status of completions and provided with information regarding the effectiveness of all training and communication efforts
Processing and administering new business
Manage personal trade review and brokerage account maintenance
Support business with questions related to brokerage accounts and trading in compliance with company policies

Compliance Administrator Qualifications

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

Licensing or Certifications for Compliance Administrator

List any licenses or certifications required by the position: OSHA, DSP, SOX, PM, LEED, TAA, EAR, ITAR, LSS, OMWBE

Education for Compliance Administrator

Typically a job would require a certain level of education.

Employers hiring for the compliance administrator job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and High School Degree in Education, Business/Administration, Management, Law Enforcement, Business, Finance, Law, Administration, Health Care, Accounting

Skills for Compliance Administrator

Desired skills for compliance administrator include:

Word processing
Excel
State
Comparable agency accreditation requirements
TJC
Databases
Federal
JumpForward
LSDBi necessary
NCAA Division I rules

Desired experience for compliance administrator includes:

Provide administrative support to the VP & International Compliance Leader and Chief Privacy Officer including monthly expenses, international travel arrangements and diary management
Budget and invoice administration as required to include raising purchase orders through SAP
Prepare and proofread documents as required
Coordinate meetings, training sessions and appropriate catering as required
Organise and maintain a comprehensive filing system of both online and hardcopy files
Setting up new starters within the dept

Compliance Administrator Examples

1

Compliance Administrator Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of compliance administrator. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance administrator
  • Understanding of federal procurement regulations and processes is required
  • Preparing reports to the Institutional Official and various Federal Agencies (OLAW, USDA, OBA)
  • Updating and maintaining protocol databases and records, committee standard operating procedures and websites
  • Administer and monitor quarterly attestations including outside business activities, gifts and entertainment review
  • Play an active role in the maintenance, surveillance and enhancement of firm’s compliance policies and procedures
  • Process expense reports on timely basis
  • Process and reconcile all invoices
  • Collaborates and communicates with team members and managers to initiate, document and implement workflow and process improvements
  • Periodically reviews all department processes to ensure efficiency and adequate internal controls
  • Works with IT and third party vendors to monitor, optimize and troubleshoot department systems performance
Qualifications for compliance administrator
  • Searching of old records for Project Hubble, Cygnet, Winding up and FC-GPR matters
  • Updation of Inventory Tracker
  • Results driven- Shows a readiness to make decisions and commit to a course of action
  • Planning and Organising- Plans ahead and works in a systematic and organised way
  • Strong knowledge and understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
  • Ability to take direction work independently while applying sound judgment in accomplishing assignments
2

Compliance Administrator Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of compliance administrator. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance administrator
  • Ensures all department systems are upgraded as needed and manage upgrade and testing processes
  • Delivers process and system training to department staff
  • Serve as the primary point of contact for third party vendors
  • Serves as content owner for internal department systems, workflows and processes, including the documentation of processes
  • Continuously reviews department processes, workflows and systems for process improvement and enhanced efficiency opportunities
  • Acts as the department technology representative for existing system refinements or upgrades and new internal technology initiatives in collaboration with department managers
  • Creates, distributes and maintains confidential compliance documents and client data
  • Acts as system administrator for internal compliance systems
  • Gathers and distributes data through research
  • Collaborates with other departments (e.g., Front Office, Risk, Operations, Trade Platform Support ) to prepare a response to regulatory requests and respond to these requests timely
Qualifications for compliance administrator
  • Ability to quickly learn new and multiple systems and serve as the subject matter expert for department systems
  • Prior experience supporting multiple managers
  • Ability to utilize critical thinking to evaluate and enhance processes or procedures
  • Must be able to work independently and simultaneously handle a significant number of complex tasks, duties and activities
  • Must be familiar with and have experience with legal documents & language
  • Must work with a sense of urgency and demonstrate ability to prioritize and perform work effectively under pressure
3

Compliance Administrator Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of compliance administrator. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance administrator
  • General PA duties for the Head of Legal and Compliance
  • Working with members of the Compliance team to deliver a range of compliance based projects
  • Helping with the preparation of documents, proposals and work specifications
  • Uploading and assigning reports along with any associated remedial actions
  • Being able to deliver basic technical support via telephone and email
  • Helping with the preparation of scheduled compliance reports to the Client
  • Thinking both creatively and logically to resolve problems
  • Working closely with project managers with projects, document control, progress reporting and other project management tasks
  • The raising of purchase orders
  • Scheduling Client work
Qualifications for compliance administrator
  • 3 - 5 years experience in I/T and Operations, which must include audit standards, IT knowledge and analytical skills
  • Previous experience with SOX and gaming auditing is required, experience with PCI is preferred
  • Requires the ability to audit systems and processes to ensure end-to-end compliance
  • Must be able to communicate effectively and work with Senior Executives
  • Able to define and enforce Corporate Standard Operating Procedures
  • 3 - 5 years of experience in IT Operations or equivalent
4

Compliance Administrator Job Description

Job Description Example
Our company is looking for a compliance administrator. 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 administrator
  • Assisting with financial and regulatory reporting duties (including the Sunshine Act and various state filings)
  • Performs financial analysis to ensure contracts data is accurately interpreted / documented and prepares statistical trending reports of contractual and system data
  • Reviews basic contract and contract modification requirements and ensures contracts system compliance, performing ongoing audits of contract documents
  • Works closely with contracts personnel to ensure compliance with contract systems, while assisting off-site personnel in completing system compliance contract administration functions
  • Participates in development and implementation of compliance corrective action plans
  • Tracks and maintains contracts sustainment actions and other required data
  • Resolves complex administrative issues
  • Process and monitor KYC new account approvals
  • Process and monitor KYC acknowledgement emails to ensure trading is available for specific new accounts
  • Set-up Electronic Funds Transfer requests
Qualifications for compliance administrator
  • Must possess strong organizational skills, writing skills, problem-solving, analytical skills and auditing skills in order to ensure compliance within the IT Department
  • Deep knowledge of all aspects of Information Technology network, security, programs and operations
  • Paralegal Degree, in lieu of a Paralegal Degree, Bachelor’s degree in Finance or Business or equivalent years experience in finance or compliance preferred
  • Ability to meet quick deadlines and turnaround times
  • Sufficient secretarial experience (essential)
  • Sufficient experience in supporting small team (essential)
5

Compliance Administrator Job Description

Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of compliance administrator. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance administrator
  • Maintain and process all mail returns
  • Act as a support to the document administrators, cross training on their function and providing support as necessary
  • Serves as the primary point of contact for third party vendors
  • Ensuring compliance with applicable government and institution regulations
  • Evaluating studies to determine potential subject risk and appropriate review process
  • Providing compliance assistance to investigators and departmental administration
  • Reviewing protocols/registrations to ensure they are complete
  • Providing training for new committee members, investigators and administrators
  • Reviewing compliance programs and identifying areas in need of improvement
  • Evaluating studies to determine potential risks and appropriate review process
Qualifications for compliance administrator
  • Secretarial and administrative experience within Legal environment (essential)
  • Backing in banking environment
  • Minimum one (1) year contracts, finance, or relevant experience
  • Ten (10) years progressive experience
  • Knowledge of the brokerage industry and previous experience in a back office environment an asset
  • Experience with Dataphile & Hummingbird an asset

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