Corporate Compliance Job Description
Corporate compliance
provides subject matter expertise on applicable regulations--including newly issued rules and regulations--and communicating guidance consistently to the business units.
Corporate Compliance Duties & Responsibilities
To write an effective corporate compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included corporate compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Acting as a key contact and subject matter expert who provides objective guidance to Corporate Office Area partners (they support), understanding impacts of applicable regulations and regulatory guidance (e.g., OSFI Guideline E-13), best industry practices, internal processes/protocols and the applicable Corporate Office Area control environment
Work with business unit management and the internal audit team to support the efficient completion of internal audits within TCFFC
Working closely with 21st Century Fox Corporate Governance team, TCFFC management team, internal audit and external audit, oversee the completion of the annual Sarbanes-Oxley testing program
Works as a team with the Manager and/or Sr
Assists the Manager with training new employees/support staff on all aspects of completing BSA-related compliance reviews
Assists with internal audit and regulatory compliance examinations
Drive implementation of Regulatory Compliance and Financial Crime Compliance policy for the client while also giving focus to conduct management at Ireland level
Developing and strengthening relationships with Corporate Office Area partners, earning credibility and being viewed as a value-added contributor to facilitate robust oversight, and strong governance, internal controls and regulatory compliance management in the Corporate Office Areas
Maintaining a strong stakeholder network to support programs in Corporate Office Areas, and facilitate best-in-class day to day Compliance support
Supporting Corporate Office Areas' understanding of regulatory/compliance requirements, and implementation of initiatives while assisting management in mitigating regulatory compliance risk
Corporate Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Corporate Compliance
List any licenses or certifications required by the position: RCSA, CHSP, CHFM, FINRA, EMEA, CRCM, CHC, ACAMS, CISA, US
Education for Corporate Compliance
Typically a job would require a certain level of education.
Employers hiring for the corporate compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Business, Finance, Education, Accounting, Law, Business/Administration, Healthcare, Management, Health Care, Graduate
Skills for Corporate Compliance
Desired skills for corporate compliance include:
SWIFT messaging and payment transactions
Microsoft Word
Excel and PowerPoint
Rules and regulations and their impact on products
Services and operations for a specific line of business
Word
Alternative investments and other complex financial products
With an overall understanding of regulations relating to retail brokerage
Investment adviser
Regulations
Desired experience for corporate compliance includes:
Main point of contact for HMRC enquiries
UK & US GAAP provisions knowledge
Bachelors in Business Administration, Finance, criminology or related field, Masters in Business Administration, Finance, JD or related field preferred
Bachelor's degree or equivalent in Accounting, Finance or Business Administration (w/ strong emphasis in Accounting or Finance)
6+ years of experience or equivalent in audit or compliance, internal control consulting, or risk management utilizing various automated tools and techniques
Examination experience with a financial institution or securities regulatory agency
Corporate Compliance Examples
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Corporate Compliance Job Description
Job Description Example
Our growing company is looking for a corporate 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 corporate compliance
- Interpret and ensure compliance to applicable regulations, guidelines, and advising senior management on relevant business needs
- Apply the most current knowledge of how to manage regulatory inspections and follow applicable regulations
- Overseeing that appropriate second line of defence coverage is provided where Compliance does not provide primary oversight
- Performing Compliance Risk Assessments
- Providing Independent Challenge to Corporate Office Areas
- Leading and/or supporting monitoring of Corporate Office Areas including, targeted and periodic reviews, formal testing engagements, current state assessment validation exercises and potential surveillance activities where appropriate
- Carrying out Regulatory Change Management responsibilities
- Developing specialized training where appropriate, and tracking training completion rates for compliance-related courses
- Supporting regulatory engagement where necessary
- Being responsible for tracking, evaluating, providing analysis, guidance and trending review on reporting metrics for internal Compliance, enterprise-wide and Board reporting, reporting to Corporate Office Area partners
Qualifications for corporate compliance
- University degree holder in related fields including business, law
- At least 6 years of experience in compliance for other financial institutions
- Solid knowledge in IPO, listing rules and takeover codes
- Detailed oriented, independent, proactive
- Excellent communications skills in English and Chinese and fluency in Mandarin is essential
- A 4 year degree or the equivalent in related work experience in the financial industry is required
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Corporate Compliance Job Description
Job Description Example
Our company is growing rapidly and is looking for a corporate compliance. 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 corporate compliance
- Strong ability to communicate (written and oral) with executive management
- Perform and lead a variety of recurring and non-recurring processes and projects related to program development, improvement and documentation
- Build relationships within compliance department and across multifunctional groups
- Identify ways to make processes more streamlined and efficient
- Define and understand problems, perform research, identify root cause and evaluate alternatives to resolve the problem
- Assess accuracy and completeness of information and data
- Perform assessment of policies, processes and systems
- Perform on-going monitoring and reporting
- Under the leadership of a team leader, executing targeted transaction testing for consumer compliance requirements
- Managing to testing schedules to ensure all tasks and reporting are completed within established timeframes
Qualifications for corporate compliance
- 2 years of experience in compliance auditing, compliance monitoring/testing, or BSA/AML investigations experience in the financial industry, or at least 4 years previous work experience in a financial institution together with the knowledge requirements specified is required
- Knowledge of banking operations, technology and leading money laundering prevention, detection and response systems is required
- Technical/expert resource with advanced level of knowledge of regulatory/compliance requirements, including U.S. regulatory requirements
- Industry experience in risk management, risk assessment, internal controls, and/or internal audit role required
- Degree holder in Law, Accounting, Finance or related discipline(s)
- Minimum 3 years of compliance experience in financial institutions and/or regulatory bodies, with exposure to coprorate banking
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Corporate Compliance Job Description
Job Description Example
Our growing company is looking for a corporate 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 corporate compliance
- Researches and provides technical assistance for state and Federal regulatory rules and regulations related to Medicaid and prepares guidance documents as necessary to support operational compliance
- Analyzing data from multiple sources and systematically documenting the work and results
- Reviewing transaction tests executed by peers for accuracy and adherence to test procedures
- Assisting in communicating results to Compliance Officers, as needed
- Guided by team leadership, execute targeted, complex transaction testing for line of business compliance requirements in alignment with team and ICTT (Independent Compliance Transaction Testing) methodology and procedures
- Review transaction test executed by peers for accuracy and adherence to test procedures
- Proactively providing who/what/why for all meetings booked and preparing the MD with info and materials in advance
- Proactively providing who/what/why for all meetings booked and preparing the Head of Geneva GWM Compliance with info and materials in advance
- Monitor and drive corporate cGMP inspection readiness at all times through ensuring cGMP compliance to regulatory requirements any other statutory rules applicable in the development, manufacturing and packaging of products
- Develop, implement and maintain quality compliance strategies to be in line with the business goals
Qualifications for corporate compliance
- Ability to understand law and regulation as it applies to corporate functions in the financial services sector
- Accounting or Legal background ideal, preferably with CPA/CA or with LLB/JD
- Background in relevant Corporate Office businesses, Compliance, Audit, or Operational Risk functions an asset
- Familiar with banking operations
- Good command of written and spoken English, Cantonese and Mandarin languages
- Be responsible for all round general compliance function for the corporate and investment banking business, licensing, updating policies & procedures
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Corporate Compliance Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of corporate compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for corporate compliance
- Develop, implement and maintain periodic reviews of these systems and implement corrective actions as appropriate
- Work in partnership with all departments (i.e., Research and Development, Engineering, Technical Services, Manufacturing other applicable functions), to develop processes and procedures related to quality compliance for cGMP activities
- Participate in and contribute to vendor development and qualification program
- Develop, implement and maintain a robust Internal (Self Inspection) auditing program in line with cGMP expectations
- Coordinate regulatory, customer, vendor audits and to make sure that the all the audit observations are adequately addressed
- Actively participate in Management Review Board (MRB)
- Review and authorize (Approve/Reject) Quality System tasks on behalf and / or in the absence of Director of Quality or designee
- Monitor and drive corporate DEA inspection readiness at all times through ensuring DEA compliance to regulatory requirements any other statutory rules applicable in the development, manufacturing and packaging of products
- Develop, implement and maintain DEA compliance strategies to be in line with the business goals
- Work in partnership with all departments (i.e., Research and Development, Engineering, Technical Services, Manufacturing other applicable functions), to develop processes and procedures related to quality compliance for DEA activities
Qualifications for corporate compliance
- Liaise with HKMA on any regulatory inquiries, audits and examinations
- Have sound knowledge in trade finance, cash management, loans products
- Have good understanding of the regulatory framework for the investment and corporate banking space
- Can demonstrate the ability to initiate change, think strategically, and continuous improvement
- Professional designations an asset
- Ideally will have previous experience within Corporate Banking and Compliance Advisory
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Corporate Compliance Job Description
Job Description Example
Our company is looking for a corporate 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 corporate compliance
- Develop, implement and maintain a robust Internal (Self Inspection) auditing program in line with DEA expectations
- Guided by team leadership, execute targeted, complex transaction testing for line of business compliance requirements in alignment with team and ICTT methodology and procedures
- Assisting in communicating results to Business Areas
- Communicate new and revised laws and regulatory guidance that affect the company and interpret/summarize the requirements
- Monitor and report business unit compliance metrics and overall performance dashboard
- May function as department representative to corporate operations committees on special projects (i.e., new products, mergers/acquisitions, sales of branches)
- Oversees corporate compliance training
- Assists in the evaluation of the adequacy and effectiveness of compliance and regulatory policies and procedures
- Implements, documents, and maintains a coordinated legislative and regulatory tracking program in support of Medicaid clients
- Participates in the Corporate Compliance Work Group, which includes support of routine review and input into the Company’s Compliance Plan, Program Description, Policies and Procedures, and Annual Work Plan
Qualifications for corporate compliance
- The position ofCorporate Regulatory Compliance will be the primary resource for the FDA, USDA, State and local information requests and regulatory program management issues
- Master’s/Law degree preferred
- Minimum of 2 years of experience in a business setting
- Self-starter with ability to prioritize and drive deliverables without supervision
- Comfortable with a constantly evolving environment
- At least 3 years of experience working in an Audit or Compliance testing or advisory role in