Compliance Assistant Job Description

Compliance Assistant Job Description

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Compliance assistant provides interpretation of regulations and regulatory rules/guidelines to demonstrate Health Services and its delegated entities comply with state and federal standards.

Compliance Assistant Duties & Responsibilities

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

Sample responsibilities for this position include:

Creating and updating Excel and Word documents
Submitting expenses
Carry out monitoring reviews as assigned to the individual providing detailed reports in a timely manner
To provide compliance support to the business, through responding to queries
Reviewing and approving marketing materials for all areas of the business
Work with other members of the team to ensure all required records and compliance registers are maintained and in an accurate and timely manner
Liaising with portfolio managers, traders, legal, accounting, marketing and compliance colleagues globally, other firm departments as required
Basic word-processing correspondence
Input information into spreadsheets
Screen telephone calls and take messages or give routine information to callers

Compliance Assistant Qualifications

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

Licensing or Certifications for Compliance Assistant

List any licenses or certifications required by the position: NCAA, SOX, APR, CPR, AED, ISO, COC, GCC, NSIC, ERC

Education for Compliance Assistant

Typically a job would require a certain level of education.

Employers hiring for the compliance assistant job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Education, Law, Business, Finance, Athletics, Accounting, Graduate, Business/Administration, Management, Communication

Skills for Compliance Assistant

Desired skills for compliance assistant include:

US and global product regulatory and trade laws
Administrative procedures and research techniques
Excel
Functions of the school division and its operating procedures
Office of Student Life support services
Oregon State University Code of Student Conduct
Federal and state regulatory requirements and broad base of experience in multiple areas of mortgage servicing operations
Underwriting guidelines
Word and Outlook along with Work order program
Carrier relations

Desired experience for compliance assistant includes:

Ability to use good judgment and logic with attention to detail and organization skills (required)
Extensive firearms experience and knowledge (preferred)
Maintain office files and may compile information for reports
1 year of experience in a corporate office environment
Prepare materials for compliance reporting
Review content for accuracy and consistency

Compliance Assistant Examples

1

Compliance Assistant Job Description

Job Description Example
Our company is hiring for a compliance assistant. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance assistant
  • Perform administrative functions for assigned Compliance staff and management
  • Organize and maintain all compliance related records and files
  • Assist in preparing for and responding to routine reviews/audits
  • Type/transcribe correspondence as directed
  • Maintain compliance review files to include follow-up of all items required by regulators for audit purposes
  • Performs routine compliance tasks concerning documentation, reporting
  • Act as back-up administrative support for General Counsel
  • Schedule appointments, meetings, video conferences, luncheons, and special events
  • Monitor the Certification of the Firm's compliance manuals
  • Schedule new employee training for all new employees/interns/temps/consultants and continuing education programs for employees
Qualifications for compliance assistant
  • 0 – 1 year experience with basic knowledge of Compliance issues
  • Proficient word processing and computer skills
  • Maintain quarterly and annual code of ethics compliance certifications for firm, and prepare spreadsheets for trade activity for each employee that actively trades
  • Maintain compliance databases and logs for trade errors, gifts and entertainment, political contributions, outside activities, private placement, broker direction requests
  • Conduct employee email review/ surveillance
  • Provide pre-trade approval for employees
2

Compliance Assistant Job Description

Job Description Example
Our company is searching for experienced candidates for the position of compliance assistant. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance assistant
  • Maintain regular updates of the Legal and Compliance portion of the Firm's Intranet site
  • Helping employees/company registration matters
  • Helping Corporate Secretariat roles
  • Coordination of weekly/monthly reports
  • Provide assistance including database logging for various Compliance matters
  • Liaise with offshore affiliates for documentation
  • Helping with formatting of presentations, spreadsheets and word documents
  • Monitoring the quality and regulatory standards in the delivery of support services
  • Administrative management and compliance oversight of a portfolio of contract and associated sub-awards
  • Serving as a consultative resource to program personnel
Qualifications for compliance assistant
  • Provide advice to business units according to regulatory and internal policy requirements
  • Monitor compliance with SFC requirements
  • Review marketing materials relating to ILAS and traditional products
  • Provide advice on projects and other initiatives
  • Implement new or revised regulatory requirements
  • Conduct training and promote compliance awareness on regulatory and internal policy requirements
3

Compliance Assistant Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of compliance assistant. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance assistant
  • Maintaining Compliance files, including uploading and organizing documents in a document management system
  • Provide administrative support in the recruitment of academy trainees
  • Assist in on boarding of new hires into the academy
  • Coordinate logistics of training programs
  • Plan and manage academy events including the annual graduation ceremony
  • Monitor for proper and complete documentation of trainees’ certificates and performance appraisal records
  • Other special projects in the Compliance or Training space
  • Calendar scheduling and Expense
  • Confidential projects
  • Maintain abreast of compliance issues and regulations related to the healthcare industry, annual coding updates and frequent regulatory changes
Qualifications for compliance assistant
  • Good knowledge in SFC requirements and insurance products, particularly ILAS
  • Degree holder with Compliance, audit and/or business qualifications
  • Able to type Chinese
  • Good team player, self-starter, highly motivated and eager to learn
  • Some Compliance background
  • Working knowledge of Concur, Serengeti and SharePoint
4

Compliance Assistant Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of compliance assistant. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance assistant
  • Coordinate internal and external efforts to ensure adequate compliance audit coverage and to minimize duplicate efforts
  • Perform routine compliance monitoring as deemed necessary
  • Manage/oversee the management of the physician audit program
  • Maintain and distribute relevant compliance educational materials and regulatory compliance updates
  • Perform research on compliance issues as they arise from internal and external inquiries and document research
  • Serve as a resource for department managers, staff, physicians and administration
  • The role includes the responsibility for monitoring and reporting on the effective operation of the company's Operational areas to ensure compliance with internal policies and procedures
  • As directed, the role requires scoping and delivery of Compliance Monitoring reviews as part of the overall Compliance Monitoring programme to provide assurance to Senior Management and monitor and drive improvements in respect of regulatory standards
  • Completing testing activity in line with the risk based CMP through investigation, review and analysis across operational activities to assess compliance with prevailing regulatory requirements and best practice
  • Identifying and assessing risks arising in the business making reference to prevailing regulatory requirements and best practice
Qualifications for compliance assistant
  • Two to four years of work experience in athletic administration required
  • Two to four years of work experience in compliance administration preferred
  • Excellent organization skills, ability to manage several projects simultaneously
  • Experience with various computer programs, including Microsoft suite, ACS (or similar)
  • Successful candidate will be required to complete a criminal background and DMV check satisfactory to Brown University prior to commencing employment
  • One year experience working in a collegiate athletic department and/or cumulative experience working in a collegiate athletic department and as a college student athlete
5

Compliance Assistant Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of compliance assistant. 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 assistant
  • Producing objective, timely and well-presented monitoring reports and gain approval for distribution to senior management and Directors
  • Gaining commitment from the business to address any issues identified
  • Liaison with colleagues across internal governance and controls, compliance and audit functions where required
  • Interacting and communicating with internal departments such as Legal, Client Relations, Investor Relations, Corporate Development, Accounting, and investment teams external parties such as outside counsel and compliance consultants
  • Supervises day-to- day work of subordinates and ensures compliance for assigned block of business, this includes nondiscrimination testing, prototype documentation production and Form 5500 reporting
  • Performs duties inherent in a managerial role
  • Sets priorities for the team ensuring tasks are completed in a timely manner
  • Quality track subordinates work, maintain employee records, analyze and take corrective action to prevent similar errors
  • Provide administrative support for CCO and the senior attorneys in the Compliance Department
  • Perform all administrative responsibilities including travel arrangements, scanning, copying, faxing, filing, data entry, and various other projects
Qualifications for compliance assistant
  • Retail Banking Expereince is preferred
  • Admission and matriculation into a Weber State University graduate program
  • NAAC Certification
  • Excellent communication skills and the ability to deal confidently and positively with all levels of staff both face to face and over the telephone
  • To be a good team player and contributor
  • Technical knowledge/understanding of digital environment

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