Compliance Leader Job Description
Compliance leader
provides tax compliance oversight associated with the collection, validation, and retention of federal tax information for foreign and U.S.
Compliance Leader Duties & Responsibilities
To write an effective compliance leader job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance leader job description templates that you can modify and use.
Sample responsibilities for this position include:
Develop soft skills for helping employees to be promoted to other roles within the group or extended CAG promoting a Compliance Officer to a Complex role (PL09 or PL08) within Compliance or a Commercial Credit Advisory Manager role in CAG risk
Oversee, monitor, review and challenge the delivery of the Compliance testing plan
Complete quality control over the completion of testing activity
Ensure high quality of issue and report writing
Drive effective action planning and oversee the closure of actions
Lead testing initiatives
Conduct ad-hoc testing of emerging risks and hot topics, as appropriate
Be tasked with advising, and developing Compliance methodologies across the business
Research and identify upcoming changes to Compliance obligations
Provide support in the implementation of regulatory updates
Compliance Leader Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Compliance Leader
List any licenses or certifications required by the position: ISO, PMP, ACAMS, CFCS, CFIA, USMCA, LSS, OSHA, SHRM, PLL
Education for Compliance Leader
Typically a job would require a certain level of education.
Employers hiring for the compliance leader job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Associate Degree in Business, Engineering, Law, Finance, Computer Science, Accounting, Management, Education, Science, Technical
Skills for Compliance Leader
Desired skills for compliance leader include:
GDPR
ISO 27000 series
ERP and tax technology systems
Global indirect tax compliance processes either gained from an in house role
With a professional service firm
Passion for ethical conduct and compliance principles
Related compliance program standards
U.S. Federal Sentencing Guidelines for Organizations
HIPAA
HITECH
Desired experience for compliance leader includes:
Be liaising with key stakeholders and regulators and providing Compliance training
Act as an advocate on behalf of the broader business to regulatory bodies
Have oversight of patterns and trends in emerging issues globally
Support business unit Risk and Compliance teams
An undergraduate degree in business including Finance, Accounting, Economics
Trend reporting to review patterns within area of responsibility
Compliance Leader Examples
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Compliance Leader Job Description
Job Description Example
Our company is hiring for a compliance leader. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance leader
- Leadership engagement - Drive a pro-active Compliance leadership and engagement program to ensure that business leaders are responsible and accountable for policy, regulatory excellence and other compliance initiatives
- Risk assessment and remote sites- Coordinate with global Compliance leadership and implement business risk assessment initiative and drive mitigation plans arising therefrom
- Testing & Monitoring - Coordinate with relevant business owners to conduct regular audits of Compliance areas and support business in driving requisite improvements/resolutions for issues identified
- Any other responsibilities that may be identified by the business and/or managers from time to time
- Monitor open compliance issues and work closely with the process owners towards prevention and remediation of identified weaknesses
- Direct the technical messaging
- The strategy will include, but not be limited to, improved security marketing and messaging (working closely with the AWS Security and AWS Marketing teams)
- Develop product quality management strategies to enhance design understanding and manufacturing consistency and control
- Support the development of new chemical and consumable products within the Bioprocess and Lab Service business
- Core team member for New Product Introduction (NPI) projects to secure compliance to relevant regulations to get market access
Qualifications for compliance leader
- Work with peer managers to leverage best practices, understand new trends and contribute to the implementation of workflow process improvements
- Participate in cross-functional special projects as necessary and perform additional duties as assigned
- Meet regularly with direct reports to track alignment to goals and targets and ensure appropriate prioritization
- Strong verbal and written communication skills and the ability to effectively communicate with teammates, peer supervisors, and department management
- Ability to direct and motivate others and effectively delegate in order to achieve goals
- Demonstrated ability to drive for results (move the needle)
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Compliance Leader Job Description
Job Description Example
Our growing company is looking for a compliance leader. 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 leader
- Designing and implementing the Client Due Diligence Program including creating a client case management system in which all client due diligence information will be managed
- Stay abreast on UL material standards, emerging trends, and industry activities that may impact UTC
- Manages vendor and business partner relationships, such as fire marshal, police , to ensure all local and national laws are complied with in regards to safety and security
- Responsible for the production of services consisting of Level B2 review of Level B1 analysis and supporting document to make a decision to release, block/reject or escalate according to the procedure in place
- Respond to current and future client security inquiries questionnaire and requests for proposals from prospects
- Set clear expectations to ensure team of approximately 8 associates meets position expectations
- Resolve conflicts and escalated situations that may require extensive research
- Ensure the team is continuously meeting expectations and conduct oversight of team's work
- Understand and apply securities laws and rules and firm policies
- Improve team effectiveness through innovation, education, and communication in an ever changing regulatory environment
Qualifications for compliance leader
- Minimum 3-5 years prior leadership experience required
- Minimum 5 years past successful experience designing and developing learning initiatives with emphasis on performance improvement
- Minimum 2 years past successful experience designing and developing communication initiatives
- Series 7, 63/66, 9, 10, and 24 licenses required or must be obtained within one year of hire
- Strong knowledge of key instructional design concepts and practices, including writing objectives, designing instructional activities that match objectives and ensure transfer to job, writing criterion-referenced test questions
- Strong ability to analyze learning needs of audience and design and deliver a variety of performance improvement initiatives to meet those needs
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Compliance Leader Job Description
Job Description Example
Our company is looking for a compliance leader. 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 leader
- Interface with Corporate Services and Legal as needed to ensure timely delivery of all North America compensation matters
- Develop and manage tracking metrics and other reporting requirements
- Lead a team of approximately 8 associates dedicated to responding to compliance inquiries from branch teams
- Ensure the team is continuously meeting service goals and conduct oversight of team's work
- Attract, develop, and retain talent so that the department is adequately and professionally staffed
- Ensure team members receive the training and development needed to become effective team members
- Perform quality control on highly complex Bank Secrecy Act and Anti-Money Laundering investigations and reviews conducted by Bank Secrecy Act operations
- Review and investigate advanced and complex cases
- Manage the work flow, training, and performance of staff
- Retain a detailed understanding of the various computer systems used for performing and documenting the investigations
Qualifications for compliance leader
- Demonstrable skills and experience in project management in quality system development and process improvement
- Demonstrable skills and experience in collaborations with stakeholders and labor partners in a team work and labor management partnership operational environment
- Demonstrable proficiency and experience in personal computer applications in document creation, statistical analysis, graphic display, and flow-charting
- Knowledge of California and Federal laboratory laws and regulations and major accrediting organizations' requirements
- Knowledge of American Association of Blood Banks (AABB) standards and procedures, compliance standards, quality plans, transfusion services and FDA requirements, if specializing in blood bank and transfusion
- Proven strong leadership, interpersonal skills and skills in operational management
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Compliance Leader Job Description
Job Description Example
Our company is growing rapidly and is hiring for a compliance leader. 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 leader
- Provide guidance on standardization of company processes to business units, corporate areas, and recently acquired companies
- Support the implementation and application of integrated control systems
- Remain current on relevant internal control and risk assessment guidance
- Develop SOX training materials for process owners
- Support ownership and monitoring of non-key controls, including testing control design and operation
- Managing the work of the team responsible for Order Compliance Analysis
- Reporting of team performance to the Order administration Manager
- Team motivation, employee development and evaluation
- Quality Checking orders for accuracy
- Differentiating between standard and non standard orders
Qualifications for compliance leader
- Rich experience with IT security, both technical and operational, experience with compliance regimes and standards relevant to countries in EMEA, commercial regimes such as PCI DSS, or equivalents
- You understand the security implications and compliance requirements pf commercial enterprises and a wide range of public sector geographies and segments
- Demonstrated ability to work and lead in a cross functional environment including subsidiaries to lead large change initiatives, implement key programs or processes
- Detail oriented, well organized, with the ability to manage a variety of primary duties actively contribute to new projects
- Bachelor’s Degree in Microbiology, Pharmaceutical Science or equivalent
- Strong knowledge of regulations pertaining to pharmaceutical manufacturing and distribution in US, Europe and Japan
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Compliance Leader Job Description
Job Description Example
Our growing company is looking for a compliance leader. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance leader
- Work with product engineering, Global Service Technology (GST), and On-Line Center (OLE) teams to improve and maintain our service infrastructure related to S&P, such as remote connectivity, HDD wipes/disposal
- Build rapport with the USCAN Service team, provide operational guidance and provide support for S&P process concerns and questions
- Provide internal communication across all areas of business regarding S&P requirements and regulatory changes
- Demonstrate effective change management and change acceleration processes
- Accountable for driving organizational readiness and user adoption of S&P technology solutions to ensure that newly deployed technologies, processes, and software are effectively assimilated and leveraged by the business
- A track record of Supply/Logistics supervisory experience within a demanding environment, preferably within a Military operation
- The ability to act upon his own initiative and handle concurrent tasking within the scope of his job
- Experience in supervising critical Parts Management, Demand Management, Repairs Management and Quality Management System (QMS) within a Supply Chain Operation
- Experience in the use of Microsoft Office programmes and the ability to produce high quality reporting
- A track record of being able to implement continuous improvements
Qualifications for compliance leader
- Rich experience with IT security, both technical and operational, experience with compliance regimes and standards relevant to countries in APAC, commercial regimes such as PCI DSS, or equivalents
- Supporting and improving the factory complaints, product quality review and internal auditing systems
- Minimum twelve (12) years of health care compliance, health care operations (quality, risk, ), audit, finance, project management, regulatory or public policy development, investigations, information security, or insurance/health plan governance experience
- Expert knowledge of health care compliance policies, practices and systems
- Expert knowledge of health care and related compliance issues
- Expert knowledge of health care industry practices and standards