Compliance Operations Job Description

Compliance Operations Job Description

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Compliance operations provides AML advice and guidance to LOB stakeholders related to WP AML/KYC operations, implementations, and ongoing due diligence processes.

Compliance Operations Duties & Responsibilities

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

Sample responsibilities for this position include:

Oversee monthly out-of-compliance reporting for DOT & Studio Tour DOSH compliance
Directs, establishes, maintains, and plans the overall operations compliance policies and goals for an operations compliance department
Defines, develops, and implements operations compliance framework to support products and strategic direction
Interface directly with Broker/Dealer, Compliance Advisory, Licensing & Registration, Regulators and Legal council
Oversee new hire Driver compliance training
Sets new operations compliance strategy for program or product group
Applies expertise in compliance and is relied on by top management to ensure obligations are met
Accountable for profit and loss or budgetary management of assigned operations compliance program
Develops compliance assessments and supporting documentation
Oversees development of new operations compliance projects and ensures company's needs are met

Compliance Operations Qualifications

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

Licensing or Certifications for Compliance Operations

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

Education for Compliance Operations

Typically a job would require a certain level of education.

Employers hiring for the compliance operations job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Business, Education, Accounting, Sound, Auditing, Finance, Human Resources, Technical, Engineering, Management

Skills for Compliance Operations

Desired skills for compliance operations include:

AML/KYC issues
Compliance
KYC/Due Diligence
OFAC
Networking protocols
“Boolean Search” logic techniques
Investigations
Global trade compliance operations practices and procedures
Products
PowerPoint

Desired experience for compliance operations includes:

Advance working knowledge of Microsoft Excel
Proven history of scaling operations through the “smart” use of technology and process simplification
Solid working knowledge of MS Office, Excel, and other technology tools
Field questions and serve as SME on operational matters for Branch Operations Personnel
Serve as liaison with the newly created Service Review Units
Work with field employees to resolve client issues and facilitate a positive client experience

Compliance Operations Examples

1

Compliance Operations Job Description

Job Description Example
Our innovative and growing company is hiring for a compliance operations. 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 operations
  • Develops and analyzes performance data on key performance indicators to support operations compliance enforcement and risk mitigation
  • Participates in the hiring, training, and development of staff to ensure that personnel development and company operations compliance goals are achieved
  • Review oral and written customer complaints, and classify according to appropriate FINRA product and problem codes
  • Research the context and content of customer complaints, and document in the firm’s case management system
  • Assemble and present data and documentation required for the firm’s periodic regulatory filings
  • Identify non-sales practice concerns and refer matters to the firm’s Account Services, Operations and/or Bank Deposit Groups for possible corrective action
  • Work independently to review oral and written customer complaints received through the Intake Mailbox for Sales and Non-Sales and to determine appropriate course of action
  • Ensure documentation of customer complaints is in conformity with FINRA guidelines
  • Review Social Media reports and other information sources to appropriately categorize and log customer complaints
  • Research the context and content of customer complaints and exercise discretion to make determinations based on regulatory guidelines if formal filing is needed
Qualifications for compliance operations
  • Ability to represent the department and the firm in dealing with vendors and business partners
  • Ability to work in fast-paced environment and manage multiple, changing priorities
  • Ability to both produce quality work with minimal supervision and function well in a collaborative environment
  • Languages (such as Mandarin, Bahasa Indonesia or Malay) would be an advantage
  • File complaints according to FINRA Rule 4530(a), 4530(d) and 4530(f) directly to FINRA
  • Make and File U4/U5 determinations to Licensing and Registration regarding registered representatives
2

Compliance Operations Job Description

Job Description Example
Our company is growing rapidly and is hiring for a compliance operations. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance operations
  • Partner with various departments, including Information Systems, Operations, Marketing and Legal to provide timely advice and guidance regarding compliance with federal and state securities laws and regulations, internal policies and procedures
  • Manages case aging to obtain a strong balance between timely case closure and detailed, thorough investigations
  • Research compliance related topics
  • Support QC manager in testing of compliance related items
  • Oversee audit, entry and tracking of information on Driver DOT certification including CDL and Med Cards
  • Oversee audit, entry and tracking of 7-day recaps, pull notices and pre-trip inspections for all DOT registered vehicles
  • Oversee the timely execution and communication of random Driver drug & alcohol testing
  • Oversee audit, entry and tracking of information on Studio Tour employee DOSH certification including new hire training, testing and segment training signoffs
  • Oversee completion of annual testing and QA within required timelines
  • Oversee audit, entry and tracking of daily OCS and Tech Services Green Sheets for Studio Tour
Qualifications for compliance operations
  • Working knowledge of FINRA rules and regulations applicable SEC standards
  • Act as the key interface with PO partners at the executive level (P&C PO Canada/US, PCG PO, WBPO, and Asia/Europe) for review and assessing risks and effectiveness of key controls against regulatory requirements within the Business Unit across PO
  • Bachelor’s Degree and 3+ years of financial services experience
  • Understanding and awareness of legal and regulatory landscape desired
  • Service oriented, with the ability to meet deadlines in a fast paced environment
  • 1+ years lending compliance experience
3

Compliance Operations Job Description

Job Description Example
Our innovative and growing company is hiring for a compliance operations. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance operations
  • Participate in site non-compliance and critical alert meetings, as appropriate to assist trial teams in the development of Corrective and Preventive Action (CAPA) Plans
  • Assist leadership in the review of metrics to identify and assess quality trends, individual performance needs and/or compliance issues
  • Oversee the CHP Annual Records Audit and Inspection
  • Responsible for the CWM Program – Independently Managed (CWM-IM) processes’ documentation workflows and updates
  • Accurate tracking of all non-employee resources across the organization
  • CWM-IM related reporting, including working with the HR Reporting team, as required
  • Analyze contract worker data and investigate/resolve any discrepancies
  • Responsible for a generic mailbox, ensuring timely responses and exceptional customer service
  • Resource headcount reconciliation from multiple sources in an excel spreadsheet for weekly reporting
  • Works on multiple Quality Assurance / Quality Control tasks across the PBO’s with bankers
Qualifications for compliance operations
  • 3+ years of lending compliance experience
  • Demonstrate familiarity with various loan regulations such as HMDA, CRA, Flood and Truth in Lending
  • At least 1 year experience in knowledge of Lotus Applications and MS Excel spreadsheets
  • 70% - Provide operational management support for all compliance education programs including but not limited to
  • Ability to lead a team and motivate people to excel under pressure
  • Microsoft Office skills with proficiency in Access, Word, PowerPoint, Visio, Excel
4

Compliance Operations Job Description

Job Description Example
Our growing company is looking for a compliance operations. 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 operations
  • Create and document new processes and procedures for new compliance initiatives and controls, ensuring applicable securities laws and National Instrument rules are adhered to
  • Apply policies and regulatory rules appropriately to respond to compliance related inquiries from business units
  • Minimum of 7 years of relevant industry experience in a senior compliance capacity at an investment management firm
  • Superior and versatile analytical skills, capable of advising across a range of compliance matters
  • Supporting the process design and on-boarding of new products and services
  • Most all work will be supervised
  • As directed, supports programs & processes of simple complexity
  • Basis analysis of data as it relates to programs and processes
  • Gains understanding of functional area to support sales processes and programs
  • Taking part in planning, organizing and directing the work of subordinates or others
Qualifications for compliance operations
  • Bachelor’s Degree in HMO or a related field
  • Previous Medicare knowledge
  • 2-4 years of healthcare/insurance/legal industry experience
  • Bachelor's degree or work equivalent experience (3+ years in compliance)
  • 3-5 years experience compliance operations experience in payments, banking, insurance, gaming, or e-commerce with a preferred 1 years experience preparing Suspicious Activity Reports (SAR)/Suspicious Transaction Reports (STR)
  • Ability to quickly learn new tools and process
5

Compliance Operations Job Description

Job Description Example
Our company is searching for experienced candidates for the position of compliance operations. 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 operations
  • Actively identify risks to the business, products, work and associates
  • Monitor prospective and current student calls to assure compliance and quality of the student experience
  • Interact with employees, human resources, and front line and middle management on quality monitoring results, trainings, compliance support, corrective actions and the appropriate application of discipline
  • Deliver weekly compliance and quality assurance reports
  • Oversee and participate in development and implementation of state mandated/regulatory premium/fee, state tax/fee/assessment, form, and processing changes pertaining to Assistance and Financial Service products
  • Participate in form and rate/fee development of new Assistance and Financial Service products, including the development of policy/membership form language, high level product and premium/fee system processing requirements, and fee/premium annual statement line reporting requirements
  • Outlining procedures and instructions on work received
  • Making time estimations on new jobs received, check accuracy / quality of content creation / population done by others
  • Ensuring records are maintained accurately
  • Mentoring and training new team members
Qualifications for compliance operations
  • Adapts to change well
  • Must have excellent tone over the phone, enthusiastic, engaging
  • 1+ years previous experience in AML, financial compliance or related position preferred
  • Minimum 7-years of experience in retirement industry in legal, compliance or similar setting
  • Understanding of retirement plan industry
  • Building presentation and persuasion skills

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