Compliance Executive Job Description

Compliance Executive Job Description

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Compliance executive provides quality Systems compliance support and guidance to maintain compliance with all FDA, and other U.S., and international regulatory requirements.

Compliance Executive Duties & Responsibilities

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

Sample responsibilities for this position include:

Intermediate/advanced skills in MS Word, Excel and PowerPoint
Provide effective feedback to Technology and Projects teams on testing progress system defects
Managing the overall Financial Compliance reporting program with particular focus on the quarterly review of divisional SOX certification submissions, including an assessment of the effectiveness of the system of internal controls over financial reporting and a determination of the disclosure requirements related to any significant deficiencies, material weakness or material changes in internal control over financial reporting
Review with senior management the evaluation procedures undertaken in evaluating control deficiencies and assist process owners in the design of remediation efforts
Consolidate divisional submissions and report to senior management on a variety of SOX metrics
Lead an evaluation on the selection, recommendation and implementation of a financial compliance software application
Working with Division SOX Leadership coordinate, plan and schedule annual site visits
Provide general office management such as heavy coordination of new hire and contractor on boarding /termination checklist arrangements
Manage calendars, handle meeting set up/physical logistics, conference call arrangements, and occasional special event planning
Perform tasks such as those related to monthly staff meeting communications/dial-ins/room set up

Compliance Executive Qualifications

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

Licensing or Certifications for Compliance Executive

List any licenses or certifications required by the position: TDS, CISSP, ISO, CISA, PMP, CRCM, CIA, CPA, CHC, ACAMS

Education for Compliance Executive

Typically a job would require a certain level of education.

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

Skills for Compliance Executive

Desired skills for compliance executive include:

Autodesk products
Competition and industry trends along with understanding project delivery methods
Excel
Financial products
Social media platforms
Laws
MS Outlook
New regulatory requirements and working with the Compliance Director to establish Compliance procedures
Word
Compliance and planning for a U.S. based multinational

Desired experience for compliance executive includes:

Effective writing skills and proven ability in the delivery of executive management correspondence
Progressive thinker, strong analytical, organizational and time management skills
Strong analytical, problem-solving and organizational skills, the ability to manage several simultaneous projects
Ability to adapt procedures, processes and techniques to ensure completion of assignments
Undertaking Breach Reporting if requested
Establish and support the various departments’ strategic direction, vision and mission in alignment with the Company’s strategy

Compliance Executive Examples

1

Compliance Executive Job Description

Job Description Example
Our innovative and growing company is looking for a compliance executive. 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 executive
  • Liaise with Testing Group to design equity business test plan for the year and execute the quarterly compliance tests
  • Execute foreign disclosure of interest filings
  • Provide regular assistance to the ANZ Compliance Management team including diary management
  • Coordination of meetings and agendas
  • Regular liaison with other regions, divisions and business groups
  • New starter and staff transfer/exit processes
  • Travel bookings, logistics and expense claims
  • Expense reconciliation and invoice processing
  • Coordinate relocation of staff as required
  • Ad hoc ANZ regional staff requests
Qualifications for compliance executive
  • Excellent verbal and written English communication skills essential, fluency in Asian languages Mandarin or Cantonese advantageous
  • Knowledge of FCA rules
  • Ideally will have previous experience within compliance monitoring or desk reviews
  • Maintain overview and providing support of Regulatory Developments and changes that affect the UK business
  • Manage the production of monthly compliance reports to senior management in the UK, Europe and non-US where applicable
  • Experience of working within a regulated Fund environment
2

Compliance Executive Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of compliance executive. 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 executive
  • Have the ability to work on their own initiative and be active in suggesting process improvements
  • Be able to prioritise time critical tasks
  • Be highly organised particularly during peak reporting periods
  • Engages customers at the CXO level to gain their cooperation and participation in a compliance audit process
  • Lead negotiator on SMB to large compliance deals
  • Develops negotiation plans using Situational Negotiation Skills and templates
  • Ability to successfully mitigate complex pushback by customers regarding participation in audit process and refuting of audit results
  • Uses CRM tools to track leads, opportunities, activities and results
  • Assists Value Added Resellers in providing customer quotes to satisfy compliance purchases, proposals, order forms and product information
  • Responsible for cross-selling or up-selling as is appropriate
Qualifications for compliance executive
  • Proven ability to lead high-level, broad-based objectives in the context of annual compliance plans
  • Proficiency in legal research
  • Works with field sales staff or resellers to manage opportunities, account resource allocation, account strategy and closing sales
  • Understands how to build a sales pipeline (using Google alerts, Hoovers, McGraw Hill and other online resources) to prospect strategic opportunities
  • Pro-actively establishes collaborative relationships with vertical sales teams and partners engaging them with compliance customers to assemble alternate proposals to resolve compliance issues
  • Experience and comfort with communicating and negotiating at executive level
3

Compliance Executive Job Description

Job Description Example
Our company is growing rapidly and is looking for a compliance executive. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance executive
  • Support to DGM & Manager of AML/Sanction T
  • General Affairs in the department
  • Provide direct administrative support to the DE DDO site lead which includes calendar management and meeting preparation (documents, presentations ), booking travel, managing expense reports, booking conference rooms, managing OOO calendars, team distributions, interview scheduling and coordination
  • Diary management and regular assistance for Global Head of Financial Crimes Compliance (FCC) and team
  • Support the Global Compliance Office and FCC functions in communicating their strategy and key priorities
  • Coordination of FCC and Global Office meetings, agendas and minutes
  • Organise team and charity events
  • Providing Personal Assistant support to the Head of BFS Compliance
  • Report coordination and writing creating presentation slides in preparation for meetings
  • Expense reconciliation & invoice processing
Qualifications for compliance executive
  • Successful track record in a software sales role is required
  • Ideally a previous experience in License compliance
  • Proficient in utilizing various CRM tools
  • Sufficient relevant work experience within AML/CFT manager in the banks
  • Sufficient relevant work experience within compliance in the banks
  • Display a confident, proactive and professional manner
4

Compliance Executive Job Description

Job Description Example
Our innovative and growing company is hiring for a compliance executive. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance executive
  • Independent communication with internal and external stakeholders
  • Coordinate team events and meetings
  • Coordinating HR information for recruitment processes & onboarding new starters /exiting leavers and consideration of induction training requirements
  • Supporting other team members as required, including diary coordination for senior team members
  • May work with a third party auditing firm to complete remote and on site audits of customers
  • Influences Channel/Industry Sales to get leads
  • Analyze reporting metrics and highlight emerging risks
  • Preparation of letters, reports, spreadsheets, presentations as required
  • Work with insurers in relation to audits
  • Carry out Quality Monitoring in line with the annual plan
Qualifications for compliance executive
  • Have proven resilience and the ability to work under pressure
  • Be capable of understanding risk management concepts
  • Have the ability to work independently exercising sound judgment
  • Demonstrate an ability to work in an environment with highly sensitive information
  • Have a "no task is too big" attitude and flexibility to adapt to a variety of tasks
  • Have the ability to work on their own initiative and be proactive in suggesting process improvements
5

Compliance Executive Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of compliance executive. 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 executive
  • Ensuring model validation in accordance with firm policies
  • Establishing controls for data quality
  • Proposing enhancements to our quantitative techniques
  • Translating quantitative results into business observations
  • Supervising analysts and programmers, such as ensuring development of technical requirements
  • Monitoring developments in fair lending analytics in the academic and regulatory communities
  • Responding to regulatory requests for data and analysis, and interfacing with regulators during examinations
  • Establishing relationships with the appropriate business partners in order to understand business processes and their potential impact on fair lending outcomes
  • Working collaboratively with Legal and Compliance partners
  • Conducting periodic meetings with business executives to review monitoring results
Qualifications for compliance executive
  • Readily identify new regulations that may impact the business and take the lead in drafting compliance policies and procedures to address these issues
  • Bachelor Degree, 8+ years Sales/License Compliance related exp
  • 1 M+ in revenue/sales responsibility will be preferred
  • Oversee compliance with the requirements of the UK Approved Persons Regime and other individual regulatory licensing and registration requirements across the Region
  • Three to five years of relevant futures, OTC clearing, swaps, and/or derivatives experience with a law firm, regulator, investment bank, broker, or market participant
  • 15+ years of professional experience with significant experience in regulatory compliance at a global financial institution, a government/regulatory agency and/or a law firm

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