Consultant, Compliance Job Description

Consultant, Compliance Job Description

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Consultant, compliance provides training to staff on federal aid policies and procedures in the federal aid processing system.

Consultant, Compliance Duties & Responsibilities

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

Sample responsibilities for this position include:

Active oversight of line of business policies and procedures and project-related control processes
Works closely with federal regulators to ensure adequate management of examinations
Assist in ensuring compliance with Sections 23A and 23B of the Federal Reserve Act and Regulation W
Responsible for outlining compliance risks related to agile initiatives and developing control recommendations accordingly
Coordinates with other compliance subject matter experts to complete risk assessments related to digital bank products and services
Works closely with other compliance subject matter experts to build testing programs for digital bank activities
Undertaking risk assessments
Governance arrangements and MI
Review the effectiveness of client's governance architecture, reporting and management information
Systems and Controls

Consultant, Compliance Qualifications

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

Licensing or Certifications for Consultant, Compliance

List any licenses or certifications required by the position: CAMS, CIPP, CRCM, CISSP, CISA, CPC, CFE, SPHR, PHR, CDPSE

Education for Consultant, Compliance

Typically a job would require a certain level of education.

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

Skills for Consultant, Compliance

Desired skills for consultant, compliance include:

Custody
Policies and procedures
Audit and payroll practices
Country
FLSA processing
Federal
Infor Time System
Microsoft Office and Excel
Asset Servicing

Desired experience for consultant, compliance includes:

Professional certification such as CPA, CIA, CRP, or CRCM preferred
Ideally will have previous experience within compliance looking to get into consultancy
Health Information Management degree with current registration from the American Health Information Management Association (AHIMA), such as RHIA or RHIT, CCS, preferred
Ideally will have previous experience within Compliance Monitoring and the Dodd-Frank regime
Knowledge of the UK regulatory and Compliance Requirements
Assists with evaluation of Model of Care (MOC) performance

Consultant, Compliance Examples

1

Consultant, Compliance Job Description

Job Description Example
Our company is hiring for a consultant, compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for consultant, compliance
  • Writes reports/ summaries, as required
  • In excess of 5 years regulatory experience gained within a spectrum of large Financial Services companies and/or the Regulator
  • FSA Regulatory Compliance (including PSD, AML, KYC & Section166 Skilled Persons Reviews or similar projects)
  • Relevant industry qualification in Financial Services, Accounting or Audit
  • Demonstrate a strong technical knowledge of FSA regulation, rules & guidance
  • Ability to deal with diverse and senior stakeholders
  • May provide oversight to a compliance function
  • Works with complex business units and provides compliance risk expertise and consulting for projects and initiatives with high risk to identify and mitigate regulatory risk in all business activities
  • Designs and develops compliance testing strategies and methodologies
  • Evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls
Qualifications for consultant, compliance
  • Strong PC skills including web enabled technologies such as internet based applications
  • The idealcandidate will hold experience of undertaking assurance work in a compliance,internal audit or similar role, and may be degree qualified or studying towardsa professional qualification
  • Knowledge of the GuernseyFinancial Services Commission regulatory framework (Laws, Regulations, Rules,Codes and Guidance) is highly desirable
  • Ideally,experience of working in a compliance role in Guernsey, with exposure to one ormore of fund administration, fiduciary, banking and custodian activities
  • Displays a senseof urgency and is able to plan and prioritise effectively
  • Organised and ableto handle multiple priorities
2

Consultant, Compliance Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of consultant, compliance. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for consultant, compliance
  • Develop a replicable process for audit preparation and implement that process
  • Partner with the LMS team, compliance operations, and other project teams to ensure successful implementation execution of risk mitigations, particularly around audience assignments
  • Serve as a thought leader in the area of operational risk and control and provide advisory services to the business area on key projects/initiatives as necessary
  • Work with internal and external clients to manage ad-hoc data requests and analyses
  • Preparation of scheduled and ad-hoc PowerPoint presentations for the BRIC VP, Directors and business partners (may include walkthroughs of results, detailed explanation of failures, BUTM trending and analysis)
  • Support projects and initiatives as requested to drive improvements
  • May serve as a "team lead" for Compliance Consultants or Business Specialists including potentially assisting in the talent selection process
  • Recommends appropriate actions to support regulatory filings and maintain compliance of the Unum portfolio
  • Ensures accurate and timely creation, storage, and maintenance of non-standard contract text, product text, and filings
  • Participates in and provides compliance consulting and support for projects and initiatives with moderate risk to identify and mitigate regulatory risk in business activities
Qualifications for consultant, compliance
  • Experience in the financial services industry and technology
  • Experience or knowledge of Compliance and/or Regulatory Filings
  • Experience or knowledge of relational databases and understanding of C# programming language
  • Ability to direct customers and related parties through influence rather than authority
  • 7 + years working in the IT / Cyber Security market
  • Technical Diploma or University Degree in Network Engineering or Computer Systems Technology or an additional 5 years relevant experience in lieu of
3

Consultant, Compliance Job Description

Job Description Example
Our company is growing rapidly and is looking for a consultant, compliance. 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 consultant, compliance
  • Work collaboratively with the business to ensure compliance with HIMCO’s policies and procedures
  • Create or recommend additional controls where needed, designed to ensure business processes are in compliance with federal securities laws and regulations
  • Create written guidelines related to compliance activities
  • Conduct audits based on client guidelines
  • Maintain documentation of audits and outcomes
  • Consult with clients on emerging new guidelines set forth by NASBA
  • Provide employee training on NASBA related topics, policies, or procedures
  • Provide assistance to internal or external clients in audits
  • Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on MCLASS technology
  • Design or implement improvements in communication, monitoring, or enforcement of CPE reporting
Qualifications for consultant, compliance
  • Thorough knowledge of compliance principles, theories, and concepts
  • Thorough knowledge of health care compliance policies, programs, practices, systems, related compliance issues
  • Excellent skills in written and verbal communication, meeting facilitation, presentations, analysis, collaboration, project management, decision making and stewardship
  • Strong skills required in critical thinking, analysis, meeting facilitation, verbal and written communication, and interpersonal interactions (e.g., partnering, conflict management, consulting)
  • Keep abreast of UK, EU and International regulatory developments
  • Provide analysis of regulatory developments that impact NT depositary business and its clients and
4

Consultant, Compliance Job Description

Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of consultant, compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for consultant, compliance
  • Partners cross functionally to remain abreast of current internal business, organizational and leadership changes
  • Follows legislative changes and external business trends
  • Researches, analyzes and evaluates external elements and best practices in HR compliance solutions, applying business acumen to improve outcomes
  • Monitor HIMCO’s trade activity for equitable treatment through periodic surveillance and forensic review
  • Manage controls surrounding material, non-public information (MNPI) including gatekeeper system access and maintenance of restricted lists
  • Review broker activity to ensure best execution is sought and to identify potential conflicts due to gifts and entertainment
  • Stay current with regulatory and business unit changes and assist with development of anticipatory solutions to ensure effective implementation of new controls
  • Coordinate information and documentation for periodic certifications and regulatory audits and examinations
  • Prepare short synopses of regulatory events and department enhancements for senior management
  • Complete periodic regulatory filings
Qualifications for consultant, compliance
  • Regulatory Services and other NT depositary jurisdictions
  • Attendance at industry association meetings at the discretion of the Head of Regulatory & Technical
  • Support Relationship Management and Business Development in the review of all appropriate
  • Scheme documentation
  • Support and contribute where necessary to the monitoring and oversight of UK clients in a depositary
  • Answers regulatory queries from clients and the business
5

Consultant, Compliance Job Description

Job Description Example
Our company is looking to fill the role of consultant, compliance. 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 consultant, compliance
  • Provide environmental health and safety compliance, EHS compliance auditing and project management services to private and public sector clients
  • Perform implementation activities for EHS compliance auditing, regulatory compliance, hazard communications, safety programs and environmental permitting/reporting for clients
  • Provide project management support to for various private and public sector client projects
  • Conduct business development activities to support sustainable Group growth
  • Balance the needs of multiple clients
  • Develop pricing and lead contracting for implementation projects and system upgrades
  • Assist with internal IT strategy and product development
  • Assumes ownership for investigative case assignments and monitor the status and progress of escalated matters in the case management system
  • Documents investigation findings in keeping with best practices to minimize risk and litigation in employee relations situations
  • Actively works to reduce the total number of complaints received internally and externally
Qualifications for consultant, compliance
  • Ability to analyse, understand and disseminate information promptly
  • Participation in client presentations and review meetings
  • Working knowledge of health care compliance policies, programs, practices, systems, related compliance issues
  • Effective skills in written and verbal communication, meeting facilitation, presentations, analysis, collaboration, project management, and decision making
  • Have minimum 5 years work experience in customs and trade affairs
  • 15% business travel frequency

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