Compliance Analyst / Senior Analyst Job Description

Compliance Analyst / Senior Analyst Job Description

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Compliance analyst / senior analyst provides compliance and administrative support to ensure that the firm’s compliance programs are implemented, maintained and enforced in accordance with the applicable rules and regulations including the Investment Adviser Act of 1940.

Compliance Analyst / Senior Analyst Duties & Responsibilities

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

Sample responsibilities for this position include:

Prepare SEC, CFTC and Federal Reserve regulatory filings and ensure timely filing
Work closely with Exams project management and information technology staff as the IT system security subject matter expert to improve and maintain the security posture of the Exam environment
Review of research services eligible for payment under SEC soft dollar guidance and Section 28(e) of the Securities Exchange Act of 1934
Review and update of written policies relating to firm compliance policies and the procedures relating to monitoring and testing of the implementation for those policies
Prepare written material for the Mutual Fund Board including description of Compliance programs in 15(c) presentations, cross trade reports, commission reports and soft dollar service reports
Assist in records production in response to regulatory, internal audit or client requests
Review daily shareholding records to ascertain whether shareholding disclosure reporting requirements have been triggered
Prepare reports for sub-advisory relationships, institutional due diligence meetings and RFP requests
Review written communications (including electronic communications) by registered representatives for FINRA and SEC compliance
Advising the business on compliance matters

Compliance Analyst / Senior Analyst Qualifications

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

Licensing or Certifications for Compliance Analyst / Senior Analyst

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

Education for Compliance Analyst / Senior Analyst

Typically a job would require a certain level of education.

Employers hiring for the compliance analyst / senior analyst 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 Compliance Analyst / Senior Analyst

Desired skills for compliance analyst / senior analyst include:

Laws
State regulations
Regulations in area of compliance
Regulations
Ability to use standard industry programs and websites
Insurance principles procedures and best practices
Excel
NCCI and other bureau advisory filings and manuals
Commercial lines rating methodologies
Investment Advisers Act of 1940 and the Investment Company Act of 1940

Desired experience for compliance analyst / senior analyst includes:

Public and/or private audit experience required
Operational accounting and/or financial reporting experience desirable
Experience in an international business environment a plus
Prior experience with InvestOne, J.P
Bachelor's Degree or equivalent experience in Finance, Accounting, or Business Administration
5+ years audit/compliance experience working in a banking compliance or audit related capacity

Compliance Analyst / Senior Analyst Examples

1

Compliance Analyst / Senior Analyst Job Description

Job Description Example
Our company is growing rapidly and is looking for a compliance analyst / senior analyst. 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 analyst / senior analyst
  • Provide consultation and support directly to other IT Compliance Specialists, and internal personnel, as needed
  • Monitoring and analysis of the holdings which has caused the 'Threshold crossing' based on the country specific legal thresholds, statutory thresholds & takeovers regulation
  • Assist in the design of presentations and training materials for various internal training / education sessions for the organization
  • Lead and motivate associates in a high stress, fast paced environment
  • Provide assistance to and act as a resource for new or more junior associates
  • Provide ongoing collaboration and support to the Compliance Team on various projects, tasks, and initiatives as may be needed
  • Participate in regulatory review remediation activities as needed
  • Assist with training and improving knowledge of AML/ATF in business operations
  • Researching, analyzing and drawing conclusions related to regulatory requirements and their applicability to bank products, services, systems and operations
  • Staying abreast of regulatory changes
Qualifications for compliance analyst / senior analyst
  • A rigorous background in the full lifecycle of business analysis activities including process mapping, scope definition, requirements elicitation and definition, functional design, data mapping, testing, implementation and user training
  • Retail compliance, transaction monitoring and/or financial services regulatory experience is highly regarded
  • Ability to create quality systems, including Document Management and associated infrastructure and controls, such as forms, electronic repositories and quality objectives and plans
  • Comprehensive knowledge of standard operating procedure and documentation requirements
  • Ability to plan and coordinate activities simultaneously on multiple projects under pressure of time and workload
  • Bachelor’s degree and/or a combination of education
2

Compliance Analyst / Senior Analyst Job Description

Job Description Example
Our growing company is looking for a compliance analyst / senior analyst. 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 analyst / senior analyst
  • Manage the Lake County OSHA 300 Log and complete annual regulatory injury/illness reporting requirements
  • Manage the Global and Lake County EHS Website
  • Develop and own customer compliance communication (white papers, faqs, websites, etc)
  • Manage incoming and outgoing customer requests, including customer audits and information requests
  • Get on the phone to explain our compliance story and programs to customers
  • Modernize and own our controls framework
  • Drive improvements in existing processes and develop new innovative and efficient solutions
  • Communicate gaps to management and coordinate cross-functional team meetings to remediate and close control gaps
  • Coordinate with process owners, external auditors, and internal auditors as necessary
  • Conduct in-depth, enhanced analysis of prospective and current Latin American FI Clients and issues that are large, complex and/or high-risk in nature, and provide recommendations to leadership on how to proceed in accordance with GDD and Know Your Customer (KYC) guidance
Qualifications for compliance analyst / senior analyst
  • Proficient is Microsoft Office software (essential) and fund management systems (preferable)
  • Minimum 8 – 10 years’ experience in auditing, accounting or compliance related field
  • Involvement in various Financial Crimes Compliance projects from commencement to implementation, conducting detailed analysis and capturing of business requirements
  • Analytical thinker with strong organizational skills
  • Ability to work efficiently with minimal oversight/direction part of multiple project teams
  • College degree from an accredited college with a concentration in either computer science or information systems analysis and design
3

Compliance Analyst / Senior Analyst Job Description

Job Description Example
Our growing company is hiring for a compliance analyst / senior analyst. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance analyst / senior analyst
  • Analyze department procedures to ensure compliance with state regulator and statutory requirements
  • Help develop and drive solutions/strategies to issues faced by the businesses and the necessary controls around any change
  • Compile and analyze site/division/corporate trade data to identify compliance risks and cost-savings opportunities
  • Support business units on NAFTA certifications and ensure proper filing with brokers
  • Work directly with sites/divisions and customs brokers to resolve day-to-day issues that result in border delays
  • Preparation and review of international shipping documents such as commercial invoice, packing list, ISF (including consignee information) Incoterms, country of origin, accuracy of valuation and import classification
  • Audit of entries filed with customs to include
  • Preparation of reports such as monthly customs data reports (number of entries, entered value, duties paid, number of exams, , ) broker accuracy scorecard, overages and shortages
  • Establish and enforce global Customs compliance policies and procedures for import export activities and conduct training efforts for functional groups directly or indirectly involved with import export activity
  • Perform preferential duty calculations to take advantage of free – trade agreements
Qualifications for compliance analyst / senior analyst
  • Excellent organizational abilities and attention to detail is necessary
  • Must be a self-starter who will anticipate challenges and work proactively to resolve issue
  • Must be able to to travel domestically/internationally as required, up to 15%
  • Ability to trouble-shoot and resolve KYC issues in a timely manner
  • University graduate – Accounting / Finance / Business / Economics major
  • Minimum 5 years’ experience in finance and accounting, internal/external audit roles
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Compliance Analyst / Senior Analyst Job Description

Job Description Example
Our company is looking for a compliance analyst / senior analyst. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance analyst / senior analyst
  • Oversee junior staff in monitoring substantial shareholder limitations and execute US and Foreign regulatory filings
  • Assist the Compliance Officer and Deputy CCO in administering the Trade Error policy
  • Lead major compliance projects and initiatives
  • Maintain working knowledge of Investment Adviser’s Act of 1940 and UCITS with respect to investment limitations
  • Convey complex regulatory and investment concepts to internal and external clients
  • Use SQL & CRIMS at a proficient level
  • Serve as primary Sarbanes-Oxley 404 liaison between the Accounting, Legal, Finance, IT, Operational, and Human Resources Departments and the external auditors
  • Interface with cross - functional contacts to ensure Sarbanes-Oxley 404 objectives, deliverables, and timelines are met
  • Passion for process improvement - continuously reimagines risks, scoping, and controls to enhance process effectiveness or efficiency
  • Engage process owners to continually assess and improve Sarbanes-Oxley 404 documentation
Qualifications for compliance analyst / senior analyst
  • Bachelor’s Degree (Training or EHS related) or equivalent work experience
  • Knowledge of adult learning principles as they relate to design and development of training programs
  • Use Training Software and Systems for training curriculum development and tracking training information
  • 3-5 years of audit scope & planning, regulatory compliance or audit experience, data analysis, consulting, public accounting or large corporate internal audit preferred
  • Big 4 or consulting experience preferred
  • 3+ years experience in an equivalent technology risk and compliance related role
5

Compliance Analyst / Senior Analyst Job Description

Job Description Example
Our innovative and growing company is hiring for a compliance analyst / senior analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance analyst / senior analyst
  • Responsible for developing and maintaining internal desk procedures for relevant business areas
  • Provide customized reporting to the array of stakeholders, including various governance committees, Nuveen’s CCOs and business leaders that encompass appropriate metrics and other forms of data regarding employee adherence with various policies
  • Provide subject matter expertise, guidance, and policy interpretation for ethics matters raised by employees either directly or via channels
  • Provide assistance to manager to respond to both internal and external audits
  • Assist the EO in its’ coordination and management of the quarterly personal trading certification process to ensure regulatory compliance
  • Assist the Ethics Office with special projects
  • Assist where necessary in the compliance testing to assure compliance obligations across the business are being met / and non-compliance is identified and reported
  • Accountable for the effective implementation of Compliance owned policies through the provision of process development and training to meet compliance requirements
  • Update the Compliance Issues Tracker with findings and verify actions taken to close issues
  • Use Archer to escalate reportable compliance issues in accordance with set timeframes and requirements
Qualifications for compliance analyst / senior analyst
  • Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience
  • Minimum of 5 years industry/regulatory/securities experience in legal contacts, contract development, claims, underwriting legal research and communications
  • Securities license may be required
  • Effective written and verbal and presentation communication skills
  • BS Business Administration preferred
  • Intermediate level skill in Microsoft Office and SAP

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