Compliance Services Job Description

Compliance Services Job Description

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Compliance services provides engineering and operations support for Database technologies, mostly including Oracle, MS SQL, DB2-LUW, Postgres, and Replication tools.

Compliance Services Duties & Responsibilities

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

Sample responsibilities for this position include:

Represent Compliance on business change projects
Representing TS Compliance at relevant business meetings or governance forums
Partnering with Compliance colleagues and other control functions Legal, Risk, Audit, Finance and Oversight & Control to help foster a culture of control and compliance throughout the TS business
Reporting to senior management regarding compliance matters on an ongoing basis, and no less frequently than monthly
Updating XES’s compliance management system as needed to reflect changes in the law, changes in the risks facing XES or its clients, changes in XES’s business, monitoring results, audit findings, complaints, regulatory examinations, actual or threatened litigation, and enforcement actions
Managing XES’s complaint response function, including communicating with regulators, consumers, clients, and other stakeholders about sensitive issues and ensuring that the complaints are properly analyzed and systemic issues are appropriately addressed
Participating in new client intake, existing client renewals, and any client exit interviews to identify any compliance issues or risk of harm related to new or renewing clients or new client programs, any compliance issues not otherwise identified that resulted in clients deciding not to renew
Managing monitoring activities (such as telephone call monitoring), internal audits, other internal compliance reviews, client audits or reviews, any other external audits or reviews, any regulatory agency examination reports, and ensuring implementation of any required corrective action resulting from such audits, reviews or examination reports, including changes to business processes and to the compliance program
Resolving or correcting any practices resulting in any alleged violations of the consumer protections set forth in the Higher Education Act, FFELP regulations, and Department of Education issuances any alleged violations of consumer financial law, including, but not limited to, unfair, deceptive, or abusive acts or practices laws, ECOA, FDCPA, TCPA, SCRA, EFTA, GLBA, and FCRA
Engaging with XES business units to design and implement controls and ensure that compliance policies and procedures are implemented effectively and disseminated appropriately

Compliance Services Qualifications

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

Licensing or Certifications for Compliance Services

List any licenses or certifications required by the position: ITIL, CPA, VCA, CAMS, CIA, ACAMS, JD, CIPP, PKI, ASPPA

Education for Compliance Services

Typically a job would require a certain level of education.

Employers hiring for the compliance services job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Business, Finance, Accounting, Education, Management, Business/Administration, Economics, Engineering, MBA, Graduate

Skills for Compliance Services

Desired skills for compliance services include:

MS Office
MS office and proficient with relevant tools and technologies
Microsoft Excel
Any other MS Project tools
Customer Tools Suite and Tableau
Projects
VISIO
CRM systems
Excel
Oracle EBS

Desired experience for compliance services includes:

Trading incidents
Experience of working in a large, matrix organisation within banking, investment or security services environments
Minimum of a Bachelors Degree is required, concentration in business, economics, marketing, operations, systems or other analytical/business fields preferred
Minimum of 12 years relevant biopharmaceutical commercial business experience leading teams focused on developing efficient and effective operational processes and technology solutions
At least 3 to 5 years experience working in Compliance or Operations, with a strong knowledge of operational practices and risk, plus trade or transaction reporting experience
Managing the compliance training program, including initial and refresher training for senior management, supervisors, directors, and employees and ensuring that appropriate resources are dedicated to the training program

Compliance Services Examples

1

Compliance Services Job Description

Job Description Example
Our innovative and growing company is looking for a compliance services. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance services
  • Supervising those working in the compliance program
  • Overseeing compliance-related disciplinary and compensation procedures to address violations of the compliance program through re-training, disciplinary action, or termination, and to incorporate compliance ratings into performance evaluation and compensation
  • Managing an internal reporting system through which employees may raise questions and obtain advice regarding compliance and may report misconduct or concerns about the same without fear of retaliation and with appropriate follow-up
  • Ensuring that all findings of misconduct or weaknesses in the compliance program are responded to promptly and effectively
  • Retaining outside experts as necessary to achieve the objectives of the compliance program
  • Ensuring that appropriate records of the compliance program are generated and maintained
  • Serving as the initial principal point of contact for government compliance investigations and queries
  • An intelligent, articulate and persuasive leader who can serve as an effective member of the management team and communicate compliance issues across XES and to outside parties
  • Experience with business continuity planning, auditing, risk management, and vendor contract negotiations
  • Comfortable in highly visible, high-impact position that affects the long-term performance of XES
Qualifications for compliance services
  • Able to solve complex technical or strategic problems, deal with compliance issues, and apply new business direction in creative ways
  • Knowledge and understanding or project management disciplines and operations governance methods and processes
  • Professional maturity and confidence in discussing sensitive, complex issues with senior management
  • Experience building and maintaining key relationships across business units and functions, and establishing a culture of engagement
  • Experience developing complex policies and procedures
  • Proven ability to positively and creatively affect change and help others to anticipate and manage change
2

Compliance Services Job Description

Job Description Example
Our company is growing rapidly and is looking for a compliance services. 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 services
  • Excellent knowledge of the student loan industry, federal student loan servicing requirements, and regulatory environment
  • Collation, preparation and cross verification of data and information about individuals who require registration by the firm with financial service organisations
  • Assist with management of the regulatory and compliance requirements, including policy and procedure maintenance, related to the on boarding and off boarding of non registered employees and contractors of the Firm
  • Partnering with other control functions Legal, Risk, Audit, Finance and Oversight & Control
  • Manage and develop team of compliance testers
  • Manage staffing assignments to ensure successful completion of calendar commitments
  • Evaluate the accuracy of tests executed by compliance testers and adherence to processes and procedures
  • Manage to testing schedules to ensure they are completed in appropriate timeframe
  • Identify the need for improved data sourcing and partner with business and IT areas to develop improved data sources
  • Manage data sourcing to ensure data is obtained following documented test plans and testing protocols
Qualifications for compliance services
  • Work closely with the business to develop and implement compliance plans and a drive a robust compliance framework
  • Subject Matter Expertise with Regulatory/Legal and Industrial Standards – PCI 3.0, SOX, EU Safe Harbor, EU Data Protection Directive
  • Expertise/Experience with Information Technology/Information Security Technologies – Directory Services, Identity Management, FW/ACL Policies, Intrusion Detection/Prevention Systems, Host Based Anti-Malware, Security Information/Event Management
  • Security Strategy Risk and Compliance, IAM, SOC Operations, Application and Data, Infrastructure Endpoint and Mobile Security)Core DimensionMarketing and Sales
  • Be accountable for driving signings in to the geos Delivery
  • Minimum 5-7 years regulatory or risk management experience gained within a financial institution or regulator
3

Compliance Services Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of compliance services. 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 services
  • Provide SME (Subject Matter Expert) input to Compliance Risk Assessment Framework
  • Execution of thematic reviews to ensure that the business is operating within their regulatory risk appetite
  • Contributes to the collation of Compliance MI
  • Provides timely and accurate advice on regulatory implications on new/existing products, business strategies and activities
  • Liaise and network with peers in other organisations, attend and actively participate in regulatory focus groups
  • Responsibility for managing own workload
  • Escalation of issues to The Head of Regulatory Assurance or the Head of Compliance as they arise
  • Ensure that all allocated Compliance policies and procedures are regularly reviewed to ensure they remain in line with Metier and UK Territory requirements and business needs
  • Attendance at governance meetings including business line Risk Committees and Monthly Business Review Committees
  • Plays an integral role in design and execution of strategy related to benefits compliance function (including and not limited to medical and workers’ compensation premiums, 401(k), defined benefit plan, deferred compensation plan, and ACA)
Qualifications for compliance services
  • Ability to work autonomously and manage multiple priorities
  • Ideally indepth understanding of retail banking and/or mortgages - inparticular, a detailed grasp of Australian financial services regulations including NCCP and Responsible Lending would be advantageous
  • Technical knowledge and experience in Midrange Operating System platforms (Unix, AIX, Linux, Windows)
  • CRCM or CIPP
  • Willingness to pursue compliance certifications if not already certified
  • 5 years of financial services consumer compliance monitoring experience, or 5 years of auditing experience, or 5 years of compliance testing experience, specifically within Home Lending
4

Compliance Services Job Description

Job Description Example
Our innovative and growing company is looking for a compliance services. 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 services
  • Determines and executes solutions to daily processing issues, recommends system enhancements and assists in the development, testing, and implementation of solutions
  • Assist with sourcing, collaboration, and evaluation of administrators, insurers, brokers and other outsourced service providers to ensure company interests are managed responsibly
  • Assist Tax, Legal, HR, and Risk with year-end compliance activities (income tax apportionment/returns, proxy, workers’ compensation renewal)
  • Assist HR (total rewards and benefits) with audit preparation and management for defined contribution and defined benefit plans
  • Managing the maintenance of accreditations to ISO9001 and ISO27001 standards
  • Coordinating maintenance of the published Group IS BMS
  • Tracking and reporting progress of agreed action plans
  • Understanding the relevant standards (including changes and developments to these)
  • Understanding how Group IS meets the requirements and maintaining a Compliance Matrix to record this
  • Coordinating remediation of compliance gaps by engaging with relevant SMEs and operational managers
Qualifications for compliance services
  • Bachelor's degree required with a minimum of 25 years of related experience
  • 7-10 years of experience leading product marketing function
  • Compliance background (FCRA) desired
  • Strong project management skills with a track record of getting things done preferred
  • Bachelor’s degree in Business, Accounting, Finance or related field from an accredited university
  • CPP (Certified Payroll Professional) by the American Payroll Association
5

Compliance Services Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of compliance services. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance services
  • Organising an efficient annual review of the content of the BMS site, including sign off by each page owner that their content is up to date
  • Checking that all embedded links in the site still function and resolving if necessary
  • Maintaining a log of material changes and reflecting these in the Compliance Matrix as necessary
  • Obtaining sign-off from the Group IS Divisional FD on behalf of the SLT that the BMS remains fit for purpose
  • Logging actions arising from Control Self Assessment, the risk management process, audits by GIA, LRQA, External Audit, and other compliance activity
  • Obtaining periodic updates from action owners
  • Preparing reports actions which have been closed out or are not being progressed satisfactorily
  • Work with Technology to define system enhancements
  • Participate in execution of the Monitoring & Surveillance, Registrations & Regulatory Services, Undertake governance & reporting across all CI regulated entities and license holders
  • Participate in maintaining strong Regulatory Relationships through appropriate and timely filings and notifications
Qualifications for compliance services
  • Detailed and demonstrated understanding of the investment compliance function across asset owner and asset manager client segments
  • Experience with investment compliance software packages required (Charles River, SimCorp, Fidessa)
  • Detailed knowledge of asset owner and asset manager regulatory regimes and how they impact compliance monitoring, investment analytics and reporting requirements (40 ACT, UCITS, AIFMD, Solvency II, FRS107, APRA, AASB, PRIIPs)
  • Strong analytical skills & highly quantitative background
  • Knowledge of financial instruments and characteristics
  • Ability to set priorities, manage tight deadlines and multitask

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