Compliance Staff Job Description
Compliance staff
provides reasonable assurance that the financial statements of assigned reporting entities are complete and accurate and comply with corporate policy and generally accepted accounting principles.
Compliance Staff Duties & Responsibilities
To write an effective compliance staff job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance staff job description templates that you can modify and use.
Sample responsibilities for this position include:
Assist team leaders, senior managers/managers, and seniors in accomplishing audit objectives in a team environment
Understand, identify, evaluate and document key compliance risks and controls
Supporting the VP in a variety of functions focused on team management, efficiency and dynamics with the aim of maximizing the effectiveness of the organization, and enhancing the AML program
In conjunction with the Compliance Program Office and the AML Strategy and Governance team, the COS will prepare/review materials for submission to the Board, regulators and Senior Management
Attend staff meetings and lead them when required
Work with Line of Business Finance and AML leadership team to ensure accurate and timely financial performance and headcount
Assist in monitoring team capacity and load forecasting, reporting and analysis of budgets, balancing across teams to better align against key priorities and related initiatives
Support team structure, recruiting and team collaboration efforts across the team as needed
Support presentations, executive communications and special projects as required
Work with the CROs office to facilitate forecasting, tracking and reporting on 200+ headcount the AML team
Compliance Staff Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Compliance Staff
List any licenses or certifications required by the position: EIT, CBA, CQA, CFIRS, CAMS, CRCM, CISA, CIA, CPA, HAZWOPER
Education for Compliance Staff
Typically a job would require a certain level of education.
Employers hiring for the compliance staff job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Accounting, Engineering, Finance, Business, Education, Science, Computer Science, Technical, Information Systems, Healthcare
Skills for Compliance Staff
Desired skills for compliance staff include:
Sarbanes-Oxley requirements
CAPA
COSO framework
Generally accepted auditing standards
Generally accepted auditing standards and generally accepted accounting principles
IT controls
Infrastructure Audits
Internal/external audit methodologies
Process and equipment
Risk assessment practices and internal controls design
Desired experience for compliance staff includes:
Professional registration desired, or motivation to obtain
Performs internal control self-assessments and critical access reviews for the Division
Maintenance of month-end checklists used to ensure SOX compliance
Helps maintain updated internal control documentation for SOX compliance
Assists with month-end reporting, including reconciliation of BPC (reporting system) to SAP (General Ledger system)
Uploads trial balances to BPC reporting system
Compliance Staff Examples
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Compliance Staff Job Description
Job Description Example
Our growing company is searching for experienced candidates for the position of compliance staff. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance staff
- Serve as liaison to other departments within and outside of the AML organization and CRM
- Coordinate production and manage quality level of recurring management updates (ex., Weekly Update, Monthly Business Review)
- Manage periodic team meetings and town halls
- Create opportunities for the whole team to gather in social setting on a recurring basis to build connections and sense of unity
- Gather and review feedback and help implement action plans against Employee Engagement Survey
- Assist BSA/AML leadership team in driving cultural development, organizational alignment, continuous improvement, and training and leadership development initiatives
- Maintaining policies and procedures to ensure compliance with local, state and federal environmental regulations and standards including compliance with all Food & Drug Administration (FDA) and European Union Medical Device Directives (MDD) all other applicable global regulatory requirements
- Assume responsibility for testing product line
- Performs various review and auditing procedures, including identifying and defining issues, developing criteria, reviewing and analyzing evidence, and documenting client processes and procedures
- Contribute sound engineering advice and creative new ideas, concepts and approaches relative to engine emissions development such as after treatment (TWC, DPF, DOC, SCR) sizing and appropriate architecture
Qualifications for compliance staff
- Prepares month-end supplemental reporting schedules and audit packs
- Performs Balance Sheet variance analysis and commentary
- Assists with preparation of year end tax packages
- Assists with filing and archiving
- Performs other ad hoc tasks as assigned
- 1-2 years of relevant audit experience strongly preferred
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Compliance Staff Job Description
Job Description Example
Our company is searching for experienced candidates for the position of compliance staff. 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 staff
- Monitor regulatory program changes, assess impacts and modify testing programs to comply with changes
- Track all LIPA protection related compliance for the bulk power system and Bulk Electric System assets and the under frequency Load Shed relay systems and digital fault recorders
- Monitor, review, evaluate, make recommendations to optimize the performance of the protection systems and test programs associated with the LIPA T&D system and the associated regulatory compliance requirements
- Perform relay protection event analysis and root cause, relay setting review, test document review, control and protection settings
- Work closely with ERM project managers to prepare proposals and execute due diligence projects ranging from local, single commercial sites to facilities that are part of national portfolios
- Collating information and data for MI reports and assisting in producing the reports
- Providing support for projects that Compliance undertake on an ad-hoc basis departmental tasks
- Providing logistical support for regulatory inspections
- Taking the main responsibilities for process-oriented tasks, closely working with Business Line Central Compliance team
- Participating in meetings or Committees as minute taker and provide coordination support for collating data or consolidating meeting materials
Qualifications for compliance staff
- Bachelor’s degree required, and advanced degree/certification a plus
- 7 years of relevant work experience, including AML/regulatory Compliance
- Highly organized and capable of handling multiple opportunities simultaneously
- Comfort with ambiguity and ability to anticipate needs and opportunities
- Proven problem solving ability and strategic mindset
- Robust collaboration skills and partnering mindset
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Compliance Staff Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of compliance staff. 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 staff
- Utilize data management systems to schedule maintenance/compliance work and assist users in documenting internal and regulatory required inspections and processes
- Design and configure maintenance management system reports and dashboards to meet customer needs
- Audit large data sets and maintain the synchronization of pipeline assets and facilities data housed within Environmental Management System (EMS), Maintenance Management System (MMS), Pipeline Open Data Standard (PODS) and SAP
- Utilize data management system reports and tools to monitor compliance of regulated assets/facilities and alert field operations teams of possible compliance issues in a timely manner
- Identify data management system deficiencies and recommend enhancements to solve underlying issues or increase system efficiency
- Collaborate with internal customers in order to understand business requirements and recommend new and standard solutions
- Provide technical analyses and reporting on operations and maintenance issues
- Supports field personnel understanding of the process necessary to appropriately conduct inventories of field assts
- Insert, update, and remove asset and other master data from maintenance management systems
- Coordinate with Operations and other groups to adjust work schedules to drive efficiency while maintaining compliance
Qualifications for compliance staff
- Process management and organizational discipline with ability to prioritize
- Conduct analyses and evaluations of reports
- Ability to work irregular hours and travel as needed
- Pursuing a bachelor’s degree with an emphasis in finance or economics
- Maintains strong academic success (minimum major GPA of 3.25)
- Previous financial institution experience is helpful either as bank teller or other experience working at a bank
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Compliance Staff Job Description
Job Description Example
Our company is looking for a compliance staff. 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 staff
- Provide user support and training as necessary
- Prevents EMC compliance issues by collaborating with design teams
- Determines EMC compliance by reviewing test standards
- Sets up and manages periodic EMC product compliance test programs
- Documents compliance by preparing verification test protocols and reports
- Conduct internal audits to ensure compliance with US, Chinese and applicable global regulations
- Reports to the Medicare/Medicaid Chief Compliance Officer (CCO)
- Serves as a respected representative of the Compliance Department
- Working with the Legal Department and the appropriate CHS business units, leads the effort to develop and implement state-of-the-art compliance policies and procedures that effectively establish standards, and provides guidance, regarding applicable legal and regulatory requirements and expectations of government clients
- Remains informed of administrative, legal and regulatory developments in relevant federal and state healthcare programs
Qualifications for compliance staff
- Working knowledge and experience with MS Office (including intermediate knowledge of Excel)
- Willing to work extended hours as needed in order to meet deadlines
- Willingness to work in an office in South Jordan, Utah
- Ability to drive sustainable action through informal influence
- Bachelor’s degree in engineering, environmental science, business administration, or related discipline
- Recent graduate to 5 years of applicable work and/or internship experience
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Compliance Staff Job Description
Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of compliance staff. 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 staff
- In collaboration with the Human Resources Department and appropriate business units, develops and delivers tailored compliance training for (i) employees and (ii) vendors and delegated entities
- Through surveys and other communications channels, elicits feedback regarding the efficacy and quality of compliance training and education programs
- Remains informed of advancements and trends in the field of compliance training and education
- Manages budget issues for the Compliance Department
- Serves as Chief of Staff for the Compliance Department
- Assist in the preparation of certificate applications for facilities that do not qualify for blanket certificate reporting
- Prepare notices involving the construction or abandonment of Regulated Entities’ facilities
- Assist in providing regulatory oversight for such construction and abandonment activities
- Assist in the preparation and filing of various tariff and SOC, including fuel tracker, filings and various reports required by the tariffs of the Regulated Entities
- Assist in supporting the Regulated Entities’ compliance with FERC regulations, as they may exist or change from time to time, including, but not limited to, compliance with and internal training on FERC Standards of Conduct
Qualifications for compliance staff
- Strong leadership skills with experience in supervisory or above role(s) preferred
- Five (5) years of experience in relay protection engineering
- Relay protection setting and design criteria
- Participate in standby for off-hour protection related support
- Must have excellent interpersonal, verbal and written communication skills ability to travel to attend meetings on and off Long Island to represent LIPA in regional protection committees
- Ability to respond to emergency storm and other conditions requires field work during nights and weekend