Compliance Lead Job Description

Compliance Lead Job Description

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Compliance lead provides regulatory compliance awareness, education and guidance to the various Tennant regulatory compliance stakeholders on how to interpret, understand and comply with the regulations.

Compliance Lead Duties & Responsibilities

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

Sample responsibilities for this position include:

GTI BAU relationship & initiative management for maintenance related processes
Integrate other COE processes and standards for all HR Operations aspects
Contract and set expectations as relevant on what services HR Services will provide and ensure that roles and responsibilities for processes end-to-end are clearly defined documented and understood
Proactively apply organizational diagnostic expertise to analyze and identify potential design improvements (in cooperation with HR), providing change management support and appropriate communications for the implementation of new services and processes
Lead the portion of the Quality Analytics, Tools & Technology group that is focused on those BioResearch Quality & Compliance (BRQC) platforms that support key compliance processes for Janssen
Track validity of vehicle documents and coordinate with Operations team to ensure only compliant vehicles are deployed for operations
Agree and document objectives on an annual basis for all permanent team members, aligned to group and organizational strategic goals, and review progress quarterly
Meet frequently with individual team members to discuss operational issues, workload, successes and challenges, longer-term personal development and career goals, and to provide coaching and mentoring as needed
Formulate strong relationships, based on skills, knowledge and trust, with development teams, Dev QA teams and other testing teams, along with other partner and stakeholder groups
Set and manage the daily testing tasks for local testing staff on assigned project(s)

Compliance Lead Qualifications

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

Licensing or Certifications for Compliance Lead

List any licenses or certifications required by the position: CISSP, CISA, CRCM, CISM, PCI, ISO, PMP, ACAMS, SOX, ITIL

Education for Compliance Lead

Typically a job would require a certain level of education.

Employers hiring for the compliance lead job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Associate Degree in Business, Education, Finance, Law, Technical, Engineering, Business/Administration, Graduate, Computer Science, Science

Skills for Compliance Lead

Desired skills for compliance lead include:

Statistics
Reporting and analytical tools
Excel
Excel and PowerPoint
Regulations and regulatory expectations
Regulatory compliance to consult and provide insight and guidance
Competitive/regulatory landscape and the company's key challenges
Compliance laws
Relevant industry regulations and regulatory compliance in a specific area
Processes

Desired experience for compliance lead includes:

7+ years experience at law firm, in-house counsel or compliance officer at top financial institution
ISEB/ISTQB qualification would be advantageous
Proven track record of managing teams within a QA organization delivering multiple simultaneous projects, with at least 7 products completed and launched
Ability to maintain a positive and professional attitude under pressure, operating with a high degree of integrity
Bachelor’s degree from an accredited institution and (preferred) a Law degree, preferably with pharmaceutical focus
Certified Public Accountant or Certified Management Accountant designation preferred

Compliance Lead Examples

1

Compliance Lead Job Description

Job Description Example
Our growing company is hiring for a compliance lead. 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 lead
  • Represent CCB in firm wide steering committees related to critical application and infrastructure attributes
  • Build, implement, and lead a culture of compliance across the Global HR Services organization
  • Design and manage audit readiness strategy as defined by HR and payroll controls
  • Work closely with stakeholders at global / regional / country level as defined
  • Proactively establish strong relationship with the extended HR community to understand their needs and challenges, and to manage implementation of operational compliance objectives and drive continuous improvement by implementing enhancements and modification as necessary to meet global, regional and local business/customer needs
  • Responsible for identifying primary roles (host/co-host) and support roles (backroom, gatekeeper, scribe, ) according to the inspection scope
  • Responsible for inspection readiness activities including reporting and escalating inspection risks along with development and execution of mitigation actions focused on risk mitigation
  • Monitor and review retail vendor portals to assess performance and obtain vendor violation chargeback information
  • Investigate, analyze and track vendor violations and performance issues to identify root cause
  • Collaborate with internal business stakeholders and assess vendor compliance issues
Qualifications for compliance lead
  • Comprehensive knowledge of Generally Accepted Accounting Principles, Cost Accounting Standards, and Federal Acquisition Regulation
  • Proficiency in Microsoft Office, SAP, and all computerized finance systems
  • Bachelors Degree is required, concentration in business, economics, marketing, operations, systems or other analytical/business fields preferred
  • Strong interest in video games and software testing on current gaming platforms
  • Attention to detail – a meticulous approach to tasks
  • Ability to come up with different approaches to testing
2

Compliance Lead Job Description

Job Description Example
Our company is hiring for a compliance lead. 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 lead
  • Viewed by stakeholders as the CIA “contact point” for the audit
  • Supervise and / or mentor other audit staff
  • Write an audit report that requires few, if any, changes in content, grammar, formatting
  • Manage multiple priorities concurrently without sacrificing quality
  • Manage in ambiguous situations
  • Develop a schedule of audits to be performed (audit plan) for the succeeding year
  • Work with third parties (clinical research organizations, ) to develop an audit strategy
  • Write audit programs
  • Possess the technical skills sufficient to mitigate the substantial risk in a highly regulated area
  • Ability to proactively identify, lead and help implement special projects related to audit process, analytics, process improvement
Qualifications for compliance lead
  • Proven track record in achieving strong results continually displaying initiative to take on additional responsibilities towards professional growth
  • Experience working in a regulated compliance environment for credit card or payment processing industry a plus
  • 7-10 years operations management experience in dynamic and fast-paced transactional environments
  • Extensive knowledge of applicable legislation including local Irish, EU and International AML/CTF Regulations familiarity of international regulations affecting E-money, Payments, and Payment Gateway services
  • BS with 10+ years and at least 5+ if relevant and supervisory experience
  • Global communication
3

Compliance Lead Job Description

Job Description Example
Our growing company is looking for a compliance lead. 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 lead
  • Manage resolution to file issues
  • Lead any testing efforts related to bank file transmissions
  • Compliance oversight of all receipts, funding and financial accounting functions
  • Cash Management policy adherence – SOP
  • Potential to expand compliance oversight to additional operations functions – Financial Accounting and Special Handling
  • Supports JJRC enterprise initiatives by participating on working teams or acting as subject matter expert on special assignments
  • Assists with the timely reporting of status and metrics as required by the IT Regulatory Compliance organization
  • Ensures timely completion of assigned training
  • Plans, organizes and directs his/her team ensuring its effectiveness in delivering high quality hardware design qualification and verification
  • Manages technical direction of the team, ensuring that this direction is in keeping with the company's long term strategic & technical plan
Qualifications for compliance lead
  • Data analysis and data mining skills required
  • Responsible for projects that have hard deadlines that must be met
  • Good working knowledge of AML Transaction Monitoring systems such as Norkon, Actimize
  • A degree in relevant course of study (Social Sciences, Business Administration, International Relations)
  • Strong interpersonal and cross-cultural relationship skills
  • Industry certification required (e.g., CISA, CISSP)
4

Compliance Lead Job Description

Job Description Example
Our company is searching for experienced candidates for the position of compliance lead. 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 lead
  • Developing procedures for the Operating Companies and recommend internal controls to ensure processes and procedures are meeting prescribed goals and objectives
  • Coordinate SSC audits (internal and external)
  • Ensure all audit issues identified are monitored and closed on time
  • Drive regular Controls Best Practices and ICSAT Internal Control Self Assessment and ensure action plans are defined and implemented to close identified gaps
  • Plan, manage and monitor Risk Management & Compliance structure, staffing, methods and procedures to achieve goals and objectives
  • Develop and lead a strong Risk Management & Compliance team to deliver the right service to all internal and external stakeholders
  • Lead the company in sustaining and improving its Information Security Management System (ISMS), and maintenance of its ISO27001 certification
  • Execute follow-up activities for new or changing regulation gap closure, health authority observation commitments, internal audits, supplier audits, and computerized system periodic reviews including verification of remediation commitments, documentation of results, reporting on follow-up status, and escalation of any identified risk
  • Provide compliance support to innovation initiatives and key projects
  • Partner with stakeholders to assess, develop, and implement solutions that enable compliant innovation
Qualifications for compliance lead
  • Strong business partnering, gap analysis, problem solving, and analytical skills
  • University degree in IT, finance or related field or equivalent with professional certification
  • Minimum 7 years of experience working in a Quality role in the pharmaceutical or biotechnology industry
  • Minimum 8 years in Technology, experience of working for a large enterprise
  • Experience with FDR initiatives (audits, monitoring events, ) and ensure retention of proper documentation is desirable
  • Bachelor’s Degree in Business, MIS or related field or equivalent governance and compliance experience
5

Compliance Lead Job Description

Job Description Example
Our company is looking to fill the role of compliance lead. 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 lead
  • Ability to manage multiple tasks in a fast-paced and changing environment under minimal guidance and direction
  • Prepare, review and manage the filings and documentation for all of our quarterly and annual compliance reporting (including returns, estimates, extensions)
  • Manage all Software Asset Management mailbox requests
  • Project Manage each Open Source software request received from the development community to ensure that the request is properly completed, distributed to the other reviewing departments, and handle the communication of the review team's decision to the developers
  • Provide the initial licensing review on the open source software requested by the developers, discuss any issues or complexities with SAMI's Legal contact and facilitate any discussions with the developers
  • Provide training to the developers to properly complete the Open Source request form and Open Source scanning tool
  • Provide monthly reporting for Open Source software requests
  • Prepare International Transfer Letter transactions resulting from the transfer of software owned by ES-US business units
  • Accountable for all RNA AP & GR/IR balance sheet accounts AP related month-end accruals (contractor spend, fuel and other non PO expenses)
  • Determine and maintain an inventory of all foundational and regulatory technology compliance requirements
Qualifications for compliance lead
  • 5+ years of regulatory and compliance experience in security, privacy and compliance related initiatives
  • Competently understand and effectively communicate regulatory and control concepts with business and functional people
  • Active inquiry skills
  • Ability to understand and when necessary, challenge security decisions in a large complex system
  • Prior client facing lead role in a Governance & Compliance Area
  • To drive awareness, develop and roll out training, policies and procedures relating to relevant anti-corruption laws, and regulations, the pharmaceutical industry self-regulatory body Codes

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