Compliance Training Job Description

Compliance Training Job Description

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Compliance training provides support for managing Anti Money Laundering regulations and related activities.

Compliance Training Duties & Responsibilities

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

Sample responsibilities for this position include:

Assist in the development and implementation of Global Core Controls procedures to ensure continuous compliance with firm Procedures & Standards including Oversight & Control
Enabling the Compliance team to stay abreast of the latest rules and regulations and to enhance their knowledge and expertise to appropriately support the business
Develop and implement priority learning solutions that will support all of the company's with maintaining compliance with company processes and procedures
Learn and follow new and existing processes and compliance regulations
Develop training content, through consultation with subject matter experts and other colleagues, on related policies and procedures, for the Ethics & Compliance program and related key risk areas
Assist in the execution of a best in class and sustainable firm-wide compliance training program for new and existing employees the Compliance Education training program for Compliance Professionals
Coordinate communication plan and delivery for upcoming deliverables utilizing website, targeted email communications
Prepare and analyze monthly and quarterly training reports for senior management based on risk, population size
Ensuring ongoing education of the CB and Corporate Sector Compliance professionals
In addition to tracking the firm-wide requirement for Compliance professionals to complete the 20 credits of Annual Continuing Education obligation

Compliance Training Qualifications

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

Licensing or Certifications for Compliance Training

List any licenses or certifications required by the position: ACAMS, CAMS, TSA-STA, CRCM, DOT, SHRM, PHR, SPHR, HRIS, PMP

Education for Compliance Training

Typically a job would require a certain level of education.

Employers hiring for the compliance training job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Education, Business, Science, Management, Technical, Business/Administration, Design, Communication, Law, Healthcare

Skills for Compliance Training

Desired skills for compliance training include:

Excel
PowerPoint
Laws and regulations
Regulations
Anti-money laundering concepts
Learning Management Systems
Procedures
Food and Drug Administration
Banking products and services
Word

Desired experience for compliance training includes:

A tertiary qualification in a relevant discipline preferred
At least three years relevant experience in a similar administrative role
Compliance, risk, control and/or training background is valuable, experience in a financial institution
Customized training will be developed for each Compliance professional’s roles/responsibilities to ensure appropriate coverage/support
Ensure all Compliance training materials are current and up to date, keeping pace with regulatory change other developments in the marketplace
Independent thinker team player

Compliance Training Examples

1

Compliance Training Job Description

Job Description Example
Our growing company is hiring for a compliance training. 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 training
  • Direct the development, maintenance and promotion of training programmes, including induction training, in accordance with Group training procedures, and regulatory requirements
  • Assist with gathering Compliance training data/metrics for internal and external regulatory audits and inquiries
  • Assist Compliance Officers and SME’s with the development of training materials
  • Creation of online training content using Adobe presenter
  • Maintenance of the Compliance Training Resource Center (CTRC) and other Sharepoint sites
  • Maintain quality standards and a state of audit readiness
  • Provide compliance reports as requested during internal & external Audits
  • Works with vendors and partners to ensure the training solutions are developed and implemented per quality standards, budget and timelines
  • Maintain training documentation (electronic and hard copy) in state of audit readiness
  • Manage eLearning systems, tools and vendors providing training and support to end users
Qualifications for compliance training
  • Series 7, 24, 65/66 registrations will be required
  • May require some domestic travel < 10%
  • Assist with systems on-boarding of new employees as necessary
  • Manage planning and implementation web based training courses
  • Manage planning and implementation for instructor-led learning events
  • Manage the technical application for Adobe Connect Learning Events
2

Compliance Training Job Description

Job Description Example
Our growing company is looking to fill the role of compliance training. 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 training
  • Manage and ensures accurate attendance tracking in Le@rn LMS by reviewing reports and ensuring accuracy
  • Track Vendor Contracts from initiation / creation of contract though final execution and payment of vendors
  • Act as a liaison between training function and internal and external partners (Legal, Finance, Commercial, Compliance, Vendors)
  • Plan on-site and off-site, local, regional and national meetings
  • Provide documentation and training coordinator services to the PD department, including numbering, version control, formatting, processing, and filing of documents
  • Update training profiles, maintain training records and submit document records within our electronic training tracking system
  • Assist with documentation and training projects
  • Create monthly metrics
  • Create training profiles, update training profiles on paper and electronic system, create training reports, maintain training metrics
  • Highly motivated, self sufficient, with a strong willingness to learn and take on new challenges
Qualifications for compliance training
  • Possess advanced analytical, data management, organizational, research, oral and written communication skills with strong attention to detail
  • Minimum of 5 years of learning and development related experience, including experience in instructional design and adult learning theory, within the financial services industry and corporate training setting
  • 5-7 years experience overall
  • Minimum 2 years experience in implementation or facilitation of a Compliance training program
  • 3-5 years of ethics and compliance program management experience preferred
  • Management experience also required
3

Compliance Training Job Description

Job Description Example
Our company is looking to fill the role of compliance training. 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 training
  • Set the programmatic vision for Corporate Risk and Compliance training and define the strategy for regulatory affairs as it relates to training
  • Oversee the Corporate Risk & Compliance training program, including ensuring effective collaboration amongst key stakeholders, leading change management efforts, and setting the tone for the compliance training program throughout the company
  • Assume responsibility for and approve the annual Corporate Risk and Compliance training plan
  • Respond to regulatory or audit findings regarding Corporate Risk and Compliance training and develop and implement action plans to correct identified training deficiencies
  • Collaborative with the HR Learning Strategy team business partners to optimize the training experience and training effectiveness from the perspective of each employee group being trained
  • Leads the effort to maintain perpetual compliance with required standards for Contracts COE and sets standards for continual review
  • Analyzes the financial and functional performance metrics for the Contracts COE and provides reports to Contracts COE Leadership
  • Develop relevant and engaging training material in English and Mandarin
  • Develop instructor-led and self-study training materials as appropriate
  • Perform deep dives on CN seller accounts, producing documents for sharing with senior management
Qualifications for compliance training
  • Minimum 5 years experience in researching, developing and writing training with cross divisional impact within a large institution
  • Prioritizing and managing time, follow through with all assignments, multiple tasks and varying priorities in order to meet deadlines and accomplish goals
  • Documentation experience (paper-based and electronic system)
  • Training system experience (paper-based and electronic system
  • Ability to work with large sets of data in order to provide Senior and Executive management reporting on Compliance Training deployment and completion status
  • Strong writing skills to design company-wide communication messages, training instructions and other related content as needed
4

Compliance Training Job Description

Job Description Example
Our growing company is looking to fill the role of compliance training. 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 training
  • Develops and maintains internal regulatory compliance procedures
  • Act as a CN POC/Subject Matter Expert for the Compliance Team and TRMS KYC teams
  • Assist with review of TRMS KYC training material, particularly materials related to CN sellers
  • Assist with additional general Compliance Team responsibilities as required
  • Interfacing with internal and external customers to understand compliance requirements
  • Ensuring privacy and security standards are met and adhered to
  • May coordinate activities and assist with interactions during regulatory agency inspections
  • Auditing Purchasing and Subcontracts documentation for compliance
  • Assisting with corrective action measures
  • Coordinating, scheduling, and facilitating training
Qualifications for compliance training
  • Ability to translate highly technical concepts into easy to understand statements and ideas
  • Training certifications a plus (e.g., DISC, MBT, Hogan)
  • Ability to work nights, weekends, and to travel based on business need
  • Bachelor’s degree in a life science or education required
  • Subject Matter Expert (SME) with a comprehensive understanding of the CMMS
  • Collaborates with the Account Director, Account Leadership Team and Regional Facility Directors in the development of protocols and processes (SOP’s)
5

Compliance Training Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of compliance training. 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 training
  • Recording training completion
  • Updating SharePoint site with presentations, recorded sessions, and compliance documentation
  • End to end responsible for Knowledge Management Quality and Training Compliancy in Service Now
  • Lead improvements with the Knowledge Base and quality of content through exceptional written skills and by influencing through others
  • Responsible for developing content and measuring effectiveness/improvements
  • Responsible for developing and implementing the ethics and compliance communications program at American, including communications to employees, vendors, suppliers and business partners
  • Develop company-wide awareness of the Business Ethics & Compliance Program
  • Create and provide managers with communications and training tools to help management integrate ethics and compliance messages into business communications
  • Prepare ethics and compliance communications and facilitate training
  • Create resources to increase understanding of ethics and compliance risks and best practices (posters, infographics, guides)
Qualifications for compliance training
  • Develops and implements standardized processes for conducting compliance audits at each Facility to determine Operational Readiness/Preparedness
  • Utilizes field audit data/information to prepare specific action/improvement plans for each Facility Site
  • Ability to be proactive, operate independently to get work done and goals achieved within aggressive timeframes
  • Understands complex regulatory requirements and incorporate them into a training program
  • Financial Services Experience or Compliance Experience
  • ACAMS Certification and/or CRCM

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