Compliance, Associate Director Job Description
Compliance, associate director
provides support to the Senior Manager and the CCRO overall in the strategic maintenance of risk-based Regulatory Compliance frameworks, standards and guidelines, including support to regulatory compliance risk / control assessment activities.
Compliance, Associate Director Duties & Responsibilities
To write an effective compliance, associate director job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance, associate director job description templates that you can modify and use.
Sample responsibilities for this position include:
Assist with investigation and preparation of rules violation reports
Prepare reports as assigned
Keep abreast of new regulations and the latest regulatory initiatives relating to derivatives and complex financial instruments and advise the business on any impacts which may affect the business
Prepare reports on compliance and regulatory issues for senior management
Analyze and work with relevant stakeholders to assess and implement on regulatory developments in Hong Kong impacting Asia WM
Possess a detailed and current understanding of UK practices in Equity Capital Markets, Mergers and Acquisitions
Extensive experience of dealing with situations, transactions and interactions involving the UK Listing Authority, the AIM team of the London Stock Exchange and the Takeover Panel
Assisting with preparing the papers for the Reputation and Compliance Committee and other management fora
Assist in compliance coverage of activities of the Swap Dealer and Swap Firm
Being heavily involved in the launch and roll-out of the company’s new Governance, Risk & Compliance (“GRC”) system, which will provide the workflow and other tools essential to conducting an effective risk assessment on a global basis
Compliance, Associate Director Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Compliance, Associate Director
List any licenses or certifications required by the position: NCAA, CPA, ASQ, FAR, AML, US, CISA, O-1, E-3, TN
Education for Compliance, Associate Director
Typically a job would require a certain level of education.
Employers hiring for the compliance, associate director job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Business, Education, Finance, Engineering, Science, Athletics, Law, Administration, Accounting, Graduate
Skills for Compliance, Associate Director
Desired skills for compliance, associate director include:
Commonly used internal control frameworks
Control summaries
Reports
Risk assessment methodologies and developing key deliverables
Risk frameworks and regulatory/compliance methodologies
Work programs
Regulations
Applicable laws
Industry standards and communicate those changes to appropriate business partners
Microsoft Excel
Desired experience for compliance, associate director includes:
Degree holder with over 9 years' experience in compliance, operations, audit or risk management function
Familiarity with Investment related trading systems (including ideally Bloomberg) or similar systems such as CRTS will be an added advantage
Certified accountant or similar international qualification in accounting or law preferable
Communication ability combined with negotiation/influence experience and report writing skills
Fluency in English and/ or Chinese, ability of other spoken Asian languages is a plus
Strong project management skills and ability to perform in a changing environment - to support initiative for changes and projects related to investment compliance programme)
Compliance, Associate Director Examples
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Compliance, Associate Director Job Description
Job Description Example
Our company is growing rapidly and is looking for a compliance, associate director. 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, associate director
- Working closely with Compliance colleagues globally, along with business management, Legal, Credit Policy, IT, and other internal support and control functions
- Oversee management of staff that is responsible for reporting athletically-related aid, income from additional sources of countable aid, work study, jobs, and grants and loans
- Monitor and approve all recruiting visits (official and unofficial)
- Monitor and approve coach participation with local sports clubs
- Administer NCAA recruiting exam
- Monitor all phone calls/ recruiting contacts within ACS online system
- Import phone logs into ACS online system
- Approve scouting services utilized by various sports
- Assist with camp approvals
- Provide advice to the business and oversight teams in relation to the interpretation and application of relevant regulatory, prospectus and/or client imposed requirements in respect of derivatives and complex financial instruments
Qualifications for compliance, associate director
- Must demonstrate requisite knowledge and understanding of pharmaceutical compliance issues related
- Experience in delivering written and oral presentations to a wide range of stakeholder including senior management
- Experience managing projects of reasonable scale from inception to completion
- Law Firm, Broker-Dealer, Capital Markets and/or Dodd-Frank/Volcker Rule experience
- Experience with confirms (including capacity, disclosures, ) & statements
- Be responsible for all round compliance function for the corporate and investment banking business
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Compliance, Associate Director Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of compliance, associate director. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance, associate director
- Provide support and oversight in respect of end of day compliance monitoring of derivatives, including breaches and errors
- Investment Compliance liaison with Investment Management Risk, Derivatives Operations and other relevant teams as required
- Contribute to policy drafting and monitoring initiatives and activities
- Participate as required in the implementation of regulatory developments and consultations
- Assist in the review of new products and other advisory related activities
- Assist in the development and roll-out of compliance training programmes
- Provide input into the development of the Front Office risk based compliance monitoring plan
- Represent Investment Compliance on regional and global committees and working groups as required
- Liaison with external auditors, trustees and depositaries as required, and also assist with data and information requests from same, similar requests from regulators
- Participate, and take a lead role if required, in relevant investment and compliance projects
Qualifications for compliance, associate director
- Assist in AML transaction monitoring, advisory and AML program maintenance
- Review and update policy and procedure manuals
- Have at least 4-7 years of relevant experience in a similar function from a corporate & investment bank
- Have good understanding of the regulatory framework for the investment banking space
- Experience managing employee intranet
- Bachelor’s degree or relevant experience with a life science focus preferred
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Compliance, Associate Director Job Description
Job Description Example
Our company is growing rapidly and is hiring for a compliance, associate director. 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, associate director
- Serve as proxy to Regulatory and Consumer Affairs (RCA) team leader
- Work to ensure that our Claims Department Standard Operating Procedure Manual remains current
- Direct accountability for department’s NCQA program
- Ongoing proxy and backup for Director of Compliance
- 12+ Years with BS/BA 10+ Years with MS/MA or MBA of pharmaceutical/biotech industry experience, including leadership roles in marketing and expertise in HCP promotions
- Experience with specialty markets a must
- Proven track record of high performance including managing a field-based Team
- Strategic thinker with ability to develop and implement multidimensional business plans
- Skilled at driving execution of plans and tactics
- Demonstrated understanding of pharmaceutical regulatory requirements and impact on development of materials for Field-based Team
Qualifications for compliance, associate director
- 5 to 8 years of experience in combined public accounting firm and private industry, or 5 years with Public Accounting preferred big 4
- Experience in SEC reporting and M&A is desired, Strong writing skills a plus
- CPA license is mandatory
- Biopharmaceutical Industry a plus
- Ability to assist and supervise the coaching and administrative staffs in situations that may involve rules violations
- Ability to supervise and evaluate staff
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Compliance, Associate Director Job Description
Job Description Example
Our growing company is looking to fill the role of compliance, associate director. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance, associate director
- Manage ongoing maintenance of various healthcare compliance program-related activities and requirements, including but not limited to review of aggregate spend disclosure reports
- Provide reports on a regular basis, and as directed or requested, to keep Global Compliance & Ethics, other functions and senior management informed of the operation and progress of the EUMEA region’s compliance effort and tuned in to key regional issues
- Demonstrate deep knowledge in reimbursement and access across many Customer Support Programs and the subject matter expert
- Assist with managing the Company’s overall development and delivery of Healthcare Law Compliance training to individuals and organizations throughout the company
- Update and enhance existing compliance training on-line, live and multimedia offerings
- Manage on-going release of new hire on-line compliance training via LMS
- Work closely with Commercial training and brand attorneys to identify product messaging and promotional risks and assist in enhancing on-going product training and support tools
- Enhance and develop further compliance tools and job aids to assist employees across the organization (e.g., FAQs, quick tips, Job Aids)
- Plan and conduct internal compliance forums and advisory boards with various departments
- Facilitate remedial action and training based on ad board and forum feedback
Qualifications for compliance, associate director
- At least 8 years of experience, including several within in the pharmaceutical industry involving the implementation and/or execution of compliance programs
- Significant experience in a Compliance department within a large, global asset management firm or other comparable or relevant environment
- Robust knowledge of UCITS and NURS rules
- Strong working knowledge and understanding of fixed income and equity securities, and their derivatives, including portfolio construction and trading
- Relevant qualification such as a CFA or PRM designation
- Team player, ability to be flexible and adapt to a changing environment
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Compliance, Associate Director Job Description
Job Description Example
Our company is hiring for a compliance, associate director. 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, associate director
- Excellent listening, communication, and writing skills are necessary along with the ability to coordinate with all other departments, volunteers, senior administration members and faculty
- Coordinates all CCDS preparation, review, approval, distribution, and maintenance activities
- Provides guidance to Local and Regional RA regarding the consistency of proposed regional/national labeling content with CCDS concepts and tracks local compliance
- Formulates and implements regulatory strategy for labeling for CCDS development
- Monitoring & transaction testing of business processes and providing counsel to the business on remediation of business processes
- Provide expert strategy, direction, and advice to BRQC and business partners related to GxP regulatory requirements
- Contribute to the strategic design and implementation of an effective and proactive inspection readiness and management framework to optimally prepare and support inspections
- Collaborate with other company functions, including, but not limited to Commercial Operations, Medical Affairs, Clinical Sciences and Regulatory Affairs to provide advice and counsel regarding potential compliance issues and risks
- Evaluate, approve, and monitor company interactions with healthcare professionals, healthcare organisations, patient organisations and other relevant third parties, to ensure they are compliant and permitted for appropriate business purposes, including organisation of advisory boards, meetings and scientific congresses
- Review of communications related to the company’s development programs to ensure they accurately and appropriately inform interested parties as to relevant information about the status and progress of clinical trials
Qualifications for compliance, associate director
- Strong understanding of wealth management products (especially FX, fixed income, equities), brokerage business, banking, credit, custody and trust products and services
- In depth understanding of private banking business and industry best practice approaches and needs
- Analytical/Audit/Law/Compliance background
- Good knowledge of UCITS and NURS rules
- Good working knowledge and understanding of fixed income and equity securities, and their derivatives
- Leadership skills – 5+ years of managing people, business relationships, interacting with regulators, Auditors