Compliance, Advisor Job Description

Compliance, Advisor Job Description

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Compliance, advisor provides advice to relevant Lines of Business, Business partners on the capture of relevant MI and data fields under EMEA regulatory registers.

Compliance, Advisor Duties & Responsibilities

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

Sample responsibilities for this position include:

Support the provision of regulatory compliance related training to the business as determined by the Risk and Compliance manager
Support lines of business through advice, influence adjustments to the processes, procedures, and controls
Providing guidance on controls over regulatory requirements and line of business monitoring of those controls, as directed
Performing targeted tests on lines of business controls and provide guidance on identified risks, as directed
Identify trends in data produced by lines of business
Evaluates business initiatives and provides research and technical guidance on potential regulatory impacts to ensure compliance purposes will be maintained
Maintain understanding of business line strategies, products, services, and operating processes
Provide effective challenge and guidance on compliance risks and support business line through various interactions and forums
Conduct compliance risk assessment of new products and initiatives and advise business of compliance risk(s)
Support the Proposal Services Team and Client Services Group by responding to inquiries related to due diligence questionnaires, new business inquiries, annual questionnaires and ad-hoc requests

Compliance, Advisor Qualifications

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

Licensing or Certifications for Compliance, Advisor

List any licenses or certifications required by the position: CRCM, CAMS, CIPP, CAFP, CISSP, CISA, CFE, AMLP, ACAMS, WCCA

Education for Compliance, Advisor

Typically a job would require a certain level of education.

Employers hiring for the compliance, advisor 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, Financial Services, Associates, Management, Accounting, Legal, Law, Military

Skills for Compliance, Advisor

Desired skills for compliance, advisor include:

Relevant industry regulations
Business
Relevant regulatory data sources
Data analysis tools and techniques
Its products and processes
Regulatory compliance
Excel and Powerpoint
Competitive/regulatory landscape and the company's key challenges
How own area links to other key areas of the company and identifies new ways of doing business

Desired experience for compliance, advisor includes:

Conducts and analyzes very complex compliance reviews to identify irregularities and ensure compliance with organizational and regulatory agency rules and regulations (as it pertains to respective specialty)
Strong regulatory relationships
Develop strong understanding of applicable laws and regulations
Involvement with compliance testing and third party compliance
Participate in reporting activities, as directed
3-5 years of experience in compliance, legal, or audit

Compliance, Advisor Examples

1

Compliance, Advisor Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of compliance, advisor. 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, advisor
  • Provide an initial review of incidents and breaches to support business management and resolution, with oversight from the Senior Advisers where required
  • Review and communication of regulatory change/developments to the business in conjunction with the Senior Adviser
  • Review and follow up of potential external fraud cases escalated from the business
  • Review of MI and reporting from across the business, including breaches and complaints to identify recurring issues or trends
  • Provider clear, pragmatic guidance and support to the business on regulatory issues
  • Regularly provide input to the product team on what is needed—what internal tools are needed to make the Compliance business scalable
  • Investigate and evaluate compliance and business situations
  • Participating in department training, as appropriate
  • Providing compliance advice on projects, as directed
  • Under managerial supervision, provide effective challenge and guidance on compliance risks and support Global Finance through various interactions and forum engagements
Qualifications for compliance, advisor
  • Knowledge of Rules and regulations of the Securities Exchange Commission (SEC)
  • Bachelor's degree (B.A.) and four (4) years of experience in compliance in the financial services industry or banking preferred
  • Proven leader who is well-versed in KYC compliance regulations and has a strong background in compliance, risk, and control issues in connection with financial institutions
  • Experience with of compliance management programs, control/test environment
  • Ability to produce results and influence decisions through active engagement
  • Working knowledge of regulations, ability to read and interpret regulations
2

Compliance, Advisor Job Description

Job Description Example
Our innovative and growing company is looking for a compliance, advisor. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance, advisor
  • Advise Global Finance in the development and maintenance of the Compliance Program, such as how to monitor, report, and train
  • Support Global Finance through advice, influence adjustments to the processes, procedures, and controls
  • Involvement with compliance testing and third party compliance, as directed
  • Actively participate on projects through providing guidance, advise, and effective challenge
  • Conducts branch examinations
  • Trains Compliance Advisors on examination process and review workflow procedures
  • Monitors exception and other internal reports, of high complexity, for employee adherence to rules and regulations
  • Prepares and delivers written and oral presentations to middle and senior management
  • Assists management with the design, testing, and implementation of new or updated compliance databases and systems
  • Reviews advertising materials under broker/dealer and investment advisory rules & regulations
Qualifications for compliance, advisor
  • In-depth knowledge of Rules and regulations of the Securities Exchange Commission (SEC)
  • Advanced knowledge of fundamental investment concepts, practices and procedures used in the securities industry
  • Ability to work independently in a fast paced environment with a results focus
  • Experience with compliance for credit cards or similar retail financial products at a financial institution
  • ACAMS, CIPP
  • Knowledge of the Financial Consumer Agency of Canada compliance framework
3

Compliance, Advisor Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of compliance, advisor. 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, advisor
  • Will cover a regional phone line and facilitate call campaigns
  • Identify trends in monitoring, testing and complaint data and advise on identified emerging risks
  • Manage and develop team of compliance advisors in support of their compliance work and professional career
  • Actively support the completion of Sub-Advised clients compliance reporting
  • Analyze data using purchase data, contract data, and our own proprietary database
  • Lead client calls—upfront technology implementation and data collection calls, regular analysis updates, and probing client needs in order to design custom analysis
  • Works with internal Programs and functions, Global Trade Compliance, Shipping, Traffic, Customs Brokers and Freight Forwarders
  • Generates the required documentation necessary for import clearance instructions using SAP-based and other systems
  • Ensures compliant submission of import entry instructions to Customs Brokers including management of customer expectations through collaboration, complete record keeping packages, and management of licensing requirements
  • Interfaces with U.S. Customs
Qualifications for compliance, advisor
  • High School Diploma, GED or equivilent certification, or Military experience
  • At least 1 year working in finance, risk management or a highly regulated industry, specifically within compliance accounting, audit, or an analytical disciplined field
  • 5 years of finance, risk management, consumer compliance monitoring, auditing or examination experience
  • CRCM, ACAMS, CIPP, or Series 7, 24, or 63/65 certifications, as appropriate
  • Proficient in using various computerized research tools
  • Great project management skills a plus
4

Compliance, Advisor Job Description

Job Description Example
Our company is growing rapidly and is hiring for a compliance, advisor. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance, advisor
  • Monitors, escalates, and resolves Agent-filer service failures
  • Assigns Harmonized Tariff Schedule number across similar product and product families as needed
  • Represents the organization as primary contact for import declaration filing with internal customers and third party service providers
  • Manage and maintain import files and records in accordance with the U.S. Government import and export regulations and company policies
  • Identifies and reports to Leadership and/or other trade compliance management any potential violations of trade compliance laws and compliance violations and any incidents involving significant weaknesses in processes or procedures
  • Bachelor's degree and 6+ years of related experience (legal/compliance or Broker Dealer) or a JD in lieu of some experience
  • High level of creativity and resourcefulness is required
  • Must have strong mentoring and leadership skills
  • Strong legal and investigative skills are required
  • Use of the OOG developed processes and tools to maintain contractor safety and compliance
Qualifications for compliance, advisor
  • Excellent knowledge of concepts, practices and procedures of securities industry and/or banking compliance reviews
  • Ability to engage with sales & management customer executives
  • Work Experience at a Big 4 Accounting firm a plus
  • Bachelor's Degree or university degree
  • Good knowledge of regulations including
  • Degree Qualified in Finance / Compliance or Equivalent
5

Compliance, Advisor Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of compliance, advisor. 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, advisor
  • Apply excellent critical thinking skills and a moderate level of independence in a consultative role with a significant degree of business line interaction
  • Develop and review content for compliance training programs, including advice to business lines on 1st line of defense training opportunities and content development
  • With business line input, prepare comment letters on proposed regulations
  • Train safety champions in roles and responsibilities and scorecard process
  • Train managers in the scorecard process and how to use the data to improve the organization
  • Monitor ISNetworld scores to determine contractors in need of a field audit
  • Provide input, review and agreement on process and procedures for contractor safety
  • Provide input, review and agreement on training materials and requirements
  • Contractor evaluation process
  • Assist in the preparation of Commodity Jurisdiction requests
Qualifications for compliance, advisor
  • Professional Qualification, (Compliance/Legal/Accounting)
  • 5+ years experience working in financial services, preferably in a Compliance Role
  • High level of self motivation and ability to work as part of a wider compliance team
  • At least 8 years experienced in compliance function within banking environment
  • Deep understanding of Compliance principles
  • Ability to transform head office guidelines into local policies and procedures

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