Compliance Advisory Job Description

Compliance Advisory Job Description

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Compliance advisory provides ongoing surveillance and analysis of federal, state and international regulations for impact on products, manufacturing processes and regulatory procedures.

Compliance Advisory Duties & Responsibilities

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

Sample responsibilities for this position include:

Representing TS Compliance at relevant business meetings or forums
Keeping abreast of regulatory and legislative changes and providing advice to enable the business to ensure successful implementation of new rules, or regulatory guidance
Accountable for ensuring appropriate controls are in place designed to ensure compliance with relevant laws and regulations
Partnering with Compliance colleagues and other control functions Legal, Risk, Audit, Finance and Oversight & Control
Act as a compliance advisory officer to the front office trading desk, providing advice on products including fixed income, cash equities and money markets
Provide advice, guidance and direction on compliance issues on relevant areas of commercial banking
Provide support to senior management in the interpretation of regulatory changes and their likely impact on the business
Deliver training to business areas on policy changes
Assist in implementing compliance procedures/controls for new products/services and providing advice/guidance as necessary
Primary compliance coverage and real time support and advice to M&A and FIG business areas within the Investment Bank

Compliance Advisory Qualifications

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

Licensing or Certifications for Compliance Advisory

List any licenses or certifications required by the position: CAMS, CRCM, CPA, SOX, CIA, PMP, CFE, ISO, CCBCO, CISA

Education for Compliance Advisory

Typically a job would require a certain level of education.

Employers hiring for the compliance advisory job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Accounting, Finance, Business, Law, MBA, Financial Services, Management, Economics, Graduate, Legal

Skills for Compliance Advisory

Desired skills for compliance advisory include:

FCA Handbook
AIB processes and organisational structure
Card Brand Rules for both Card Issuers and Merchant Processors/Acquirers
Fund management processes
Instruments
Products and funds
International experience
Legal and regulatory requirements for AML
Offshore products and regulatory regimes would be an advantage
Applicable securities laws

Desired experience for compliance advisory includes:

Capable of taking the lead on all regulatory and compliance matters associated with GMAG
Able to effectively communicate and liaise with senior management, Legal and Compliance personnel and the primary regulators for these businesses
Represent Compliance and present at various committees, working groups and other meetings
Working knowledge of Securities Act, Advisers Act, Investment Company Act, ERISA, derivatives regulation
College degree and or a minimum of 5-7 years as an auditor, compliance professional or regulator with a deep understanding of controls, RCSA frameworks, issue management protocols, and governance practices
Leverage subject matter experts within legal and compliance other relevant control functions where applicable in order drive consistency

Compliance Advisory Examples

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Compliance Advisory Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of compliance advisory. 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 advisory
  • This candidate will be responsible for drafting and updating Compliance policies and procedures
  • Technical advice on relevant regulations, COBS or COLL
  • Compliance representative on appropriate or relevant business projects
  • Managing the Compliance advisory team for the business
  • Advising the business on various regulatory aspects (including UCITS, AIF's, COBS)
  • Act as the Advisor on relevant regulatory change projects
  • Provision of general support and direction to other team members
  • Deputise for the Head of Compliance in their absence
  • Previously compliance advisory experience
  • Strong UCITS experience
Qualifications for compliance advisory
  • Provide guidance, oversight and training for iShares, ICB, DC, Product Strategy and Retail on-going business initiatives
  • Minimum 7 years of experience in compliance, legal or regulatory functions
  • Candidate should have excellent organizational and and inter-personal skills
  • Providing primary compliance coverage for Rates, Credit and Securitised Products
  • Providing advice and assistance in relation to transactions and exchange rules and regulations
  • Approval of new products
2

Compliance Advisory Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of compliance advisory. 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 advisory
  • Provide compliance coverage of certain Sales and Trading Desks
  • Monitor new regulatory developments and implement the applicable policies to mitigate potential risk
  • Maintain and oversee the Firm’s Primary Dealer activities
  • Assist the business on implementing and documenting various supervisory/control mechanisms
  • Perform testing and monitoring of compliance with firm policies for covered business areas
  • Conduct compliance risk assessments to ensure effective business control framework
  • Analyze new regulations and conduct business-based analysis and execute requite implementation
  • Provide ongoing reporting to senior management
  • Develop and deliver proactive strategies and tactics that support compliance/business objectives
  • Providing regulatory/compliance advisory to an array of SFC US and Europe regulated firms
Qualifications for compliance advisory
  • Fixed Income Compliance and Fixed Income product knowledge strongly preferred
  • Providing expert advice on FCA regulation relating to product development, BAU activities and incidents
  • Have excellent interpersonal skills tough and resilient personality
  • Be able to identify emerging risks and issues within and across business units
  • Working knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934
  • At least 8-10 years of relevant experience in a compliance or product management role, with demonstrable technical knowledge of offering regime for collective investment schemes or exposure to the capital markets products
3

Compliance Advisory Job Description

Job Description Example
Our growing company is looking for a compliance advisory. 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 advisory
  • Understand and apply all relevant regulations and policies (including client asset protection
  • Provide timely and accurate support and advice on conduct and regulatory related matters to the Compliance Advisory team and to the public-side businesses
  • Create and maintain relevant Public-Side Policies and Compliance Procedures
  • Be responsible for and run with actions/projects delegated to you and liaise with all the necessary stakeholders
  • Provide advice on cross jurisdictional issues 15a-6, 144A
  • Support the Compliance team and business in the preparation of FCA visits, regulatory related audits or compliance reviews
  • Support the Global Financial Compliance program through thoughtfully crafted data analysis
  • Liaise with LOB/Region GFCC Compliance teams, Internal Audit, Operational Risk and other control functions in driving the strategic agenda and the execution of tactical steps
  • Produce metrics reporting of new and emerging business issues to senior management
  • Under managerial supervision, provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements
Qualifications for compliance advisory
  • Good working knowledge of regulations affecting the business, including Market Conduct and Benchmarks, MiFID II and MiFIR
  • Assisting in the review of new products and other advisory related activities where relevant or required
  • Performing periodic risk assessments of business
  • Strong knowledge of OCC, CFPB and Federal Reserve Bank regulations
  • Bacehlors Degree required
  • Maintains exective presence in presentations and interactions with management and other team members
4

Compliance Advisory Job Description

Job Description Example
Our company is looking to fill the role of compliance advisory. 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 advisory
  • Support program management
  • Participate in global forums with other LCD professionals to discuss regulatory developments related to coverage universe
  • Interact with regulators in connection with coverage areas
  • Administer risk mitigation processes including the surveillance of activity, adherence to firm policy & regulatory regulations, perform trending analyses, and present concerns to leadership for consideration
  • Provide support and guidance for the advisory compliance department and compliance officers
  • Provide compliance support and guidance to the LFN Managed Account business, IA Compliance program and AVP, Advisory Compliance, including facilitating reviews of compliance policies and procedures, compliance testing, year-end reporting, assisting with investment advisory compliance policies, suitability and surveillance processes, and consulting with LFN Investment Advisory business partners
  • Participate in review and updating of disclosures in ADV and product-specific disclosure brochures
  • Assist with and support annual 206(4)-7 reviews of investment advisor’s policies, procedures, and controls
  • Identify risks and conflicts of interest related to the firm’s business model
  • Participate in regulatory examinations and prepare responses for inquiries relating to investment advisory processes and procedures
Qualifications for compliance advisory
  • Minimum 10 years of Financial Service control and compliance experience required
  • Knowledge of system functions, security policies, technology safeguards, and controls
  • Advising on regulatory reform and implementation
  • Ability to understand and manage business conflicts, competing priorites
  • 7+ years of relevant work experience in a Financial role
  • Strong understanding of Fixed Income functions
5

Compliance Advisory Job Description

Job Description Example
Our company is hiring for a compliance advisory. 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 advisory
  • Leading the Compliance representation in the New Product Approval Process at UK and Global levels, which includes reviewing new products and business initiatives launched in the Bank for WM use
  • Representing the Head of Compliance on Governance Fora as required
  • Assisting with the preparation of Governance Fora reports
  • Assisting with designing Compliance Monitoring / Surveillance Controls for the product lines
  • Ensuring that any sensitive issue is escalated to the appropriate channels
  • Providing compliance cover, when necessary, in respect of all product areas including ad-hoc project work
  • Liaising with colleagues globally around new product initiatives and regulatory changes which impact the WM business
  • Contributing to the development of and building know-how within the WM Compliance team
  • Taking on further responsibilities as required
  • Developing effective partnerships throughout the business
Qualifications for compliance advisory
  • Strong product knowledge, including
  • Continually improving processes
  • Experience in a compliance and regulatory advisory in a PB environment
  • Ability to communicate confidently with internal and/or external stakeholders, including senior management
  • Previous front office compliance advisory experience
  • 3-5+ years of fixed income securities experience

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