Director, Compliance Job Description

Director, Compliance Job Description

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Director, compliance provides expertise and guidance in interpreting policies, regulatory and/or governmental regulations, and internal regulations to assure compliance.

Director, Compliance Duties & Responsibilities

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

Sample responsibilities for this position include:

Work collaboratively with the Compliance team to contribute to the development and implementation of other components of an effective Compliance program
Develop and maintain SOPs, guidelines, policies and associated internal communication related to assessment and mitigation activities
Maintain relevant data and information into respective departmental case management systems to ensure current, accurate and consistent information capture and delivery
Develop and implement investigation procedures for conducting compliance investigations and addressing potential or actual instances of non-compliance, undertaking appropriate disciplinary and corrective action where warranted
Prepare reports of non-compliance for internal communication and to the government
Present objective insights from analyses and investigation reports to deliver to relevant partners
Identify and work with other internal departments, third party vendors and contractors conducting investigations on the Company’s behalf to ensure key deliverables are met
Establishes operational objectives and work plans with the Account Teams
Developing and overseeing SOX Management Assessment Strategy and action plan for entire worldwide organization
Serves as the subject matter expert in the development, implementation, and maintenance of information related to all aspects of compliance

Director, Compliance Qualifications

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

Licensing or Certifications for Director, Compliance

List any licenses or certifications required by the position: CRCM, CISA, CHC, CAMS, CIA, ISO, CPA, CISSP, CISM, J.D

Education for Director, Compliance

Typically a job would require a certain level of education.

Employers hiring for the director, 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, Education, Law, MBA, Management, Finance, Legal, Healthcare, Accounting, Graduate

Skills for Director, Compliance

Desired skills for director, compliance include:

Products
Firm policies
Industry rules and regulations
Supervisory systems
Excel and PowerPoint
Compliance laws
Regulations
Regulations and regulatory expectations
Relevant industry regulations and regulatory compliance in a specific area
Compliance trends

Desired experience for director, compliance includes:

Certification in a related field of practice is a plus
In-depth understanding of PhRMA Code
Juris Doctorate from an accredited law school preferred but not required
Works with internal and external parties or stakeholders to build partnerships and create a shared vision and commitment for what is to be done relating to the SGC IT Roadmap
Working knowledge of desktop software applications, MS Office, Visio
Big 4 or equivalent experience

Director, Compliance Examples

1

Director, Compliance Job Description

Job Description Example
Our growing company is hiring for a director, compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for director, compliance
  • Represent the company in various industry forums and working groups
  • Acquire and retain necessary industry certifications
  • Establishing, implementing and managing the infrastructure to support a system-wide Compliance Program
  • Overseeing and administrating the Compliance HelpLine, Station Check process and Conflict of Interest disclosure process
  • Participating in and directing (under the supervision of the CCO) compliance risk assessments and GAP analyses
  • Coordinating with outside counsel and external auditors and consultants
  • Coordinating compliance-related activities across all St
  • Managing the daily operations of the Compliance Department and working closely with other Departments, including HIM, HR, Finance, and IT to ensure operations of those areas remain compliant
  • Serving as a liaison to the Board (including the Audit and Compliance Committee) as directed by the CCO
  • Developing and maintaining practical Compliance Program policies and procedures
Qualifications for director, compliance
  • English level of the role would be business fluent
  • 10+ years of auditing or testing experience, ideally with a regulator, Big 4 firm or in a large financial services institution
  • Ability to exercise sound judgment and escalate issues appropriately
  • Strong knowledge of the federal securities laws
  • Experience with written correspondence, letters, and memos
  • Experience with ARMS recruiting software system and Banner
2

Director, Compliance Job Description

Job Description Example
Our innovative and growing company is looking for a director, compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for director, compliance
  • Analysis of regulations and internal policies for each test topic
  • As an individual, lead and promote cultural change within the Bank in support of its values and beliefs
  • Assists the Director of Athletics and other athletics administrators/representatives in maintaining the department policy and procedures manual and the Student-Athlete Handbook
  • Administer the RSA Archer eGRC platform supporting Archer applications and solution configuration management and maintenance
  • Manage exam readiness activities, coordinate on-site and off-site exams, navigate exam end-to-end processes including information requests and oversight of remediation activities
  • Manages and develops staff by providing guidance, training, and motivation necessary to develop staff
  • Reviews all applicable current and future regulatory requirements in order to ensure effective Written Supervisory Procedures (WSP) are in place
  • Oversee Programmatic response to major deficiencies impacting public safety
  • Complete ongoing quality improvement of enforcement policies and procedures
  • Review background checks and ensure suitability
Qualifications for director, compliance
  • To manage relationships with Senior Compliance Management, auditors, regulators and other stakeholders particularly across the APAC Region
  • To manage the APAC Region Compliance Training team
  • Minimum 10 years’ experience in self-managed or senior Payment Scheme & Industry job roles
  • Workplace experience in running/overseeing Scheme & Industry Compliance deliverables
  • Proven exposure to business and system analysis / reporting in a Scheme or Industry product or solution environment
  • Hands on experience in managing and developing small/medium sized and highly skilled/ experienced resource teams
3

Director, Compliance Job Description

Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of director, 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 director, compliance
  • Overseeing the ongoing design, development, and implementation of the compliance and ethics program, ensuring the program meets legal and regulatory requirements, addresses areas of greatest risk, and encourages managers and employees to report suspected violations without fear of retaliation
  • Conducting periodic targeted risk assessments to identify potential threats and vulnerabilities, and develop action plans to mitigate the risks
  • Managing all third-party screenings across the firm
  • Assisting General Counsel and senior executives on compliance issues that may arise in connection with projects and offices that may be situated in countries that suffer from corruption issues
  • Providing guidance and reporting to the Compliance Committee, senior management, staff, and employees on significant compliance matters and the effectiveness of the compliance program
  • Update training and awareness-raising programs and materials on the Code of Conduct, anti-corruption and bribery, and ensure appropriate training across the firm
  • Independently investigating and acting on matters related to compliance, including the flexibility to design and coordinate internal investigations and any resulting corrective actions across the firm and with providers and sub-providers, agents and, if appropriate, independent contractors
  • Ensuring proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required
  • Consulting with General Counsel to resolve legal compliance issues
  • Responding to government investigations and queries in coordination with the General Counsel
Qualifications for director, compliance
  • Provide Operations Compliance subject matter expertise across PO to successfully meet the standards of Regulatory requirements according to the Business Unit
  • Knowledge of the US federal and state transparency reporting laws, guidance, and processes
  • Where required act as liaison between the business and the regulators
  • Excellent knowledge of the local regulatory environment, ongoing regulatory initiatives which impact the business lines
  • Ability to manage large volume of work in a fast-paced environment with minimal supervision
  • At least 7 years of compliance experience, or at least 7 years of Risk Management experience , or at least 7 years of Controls experience, or at least 7 years of Legal experience, or at least 7 years of Audit experience, specifically in consumer regulatory matters
4

Director, Compliance Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of director, compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for director, compliance
  • Conduct audits of controls
  • Build regulatory relationships with regulators
  • Develop new surveillance reports and systems with IT
  • Engage in global testing initiatives
  • Collate/update/escalate Management Information for Compliance management
  • Engage with Compliance Testing colleagues in the regions to advance and embed ‘best practices'
  • Receive reports of fraud and evaluate for materiality
  • Prepare monthly and quarter reports on the status of Fraud investigations, review for systemic issues
  • Supervise and/or conduct training requirements
  • Assisting in the provision of ongoing support and thought leadership for the US Card Compliance program related to co-brand portfolios
Qualifications for director, compliance
  • Be knowledgeable about the business and corporate policies and standards that impact PO to enable and ensure compliance
  • Program Management experience is an asset
  • Strong, experience-based knowledge of Canadian banking and securities laws, particularly with respect to conflict management, trade and electronic communications surveillance, regulatory reporting
  • Proficiency with Web-based applications, MS Office Suite (Excel, Word, PowerPoint)
  • Undergraduate degree (masters preferred) in a relevant technology or related discipline
  • Technology Compliance and Information Security experience with 10+ years combined Compliance, risk, security and technology experience with supporting security certifications like CISA, CRISC, CISSP, CISM
5

Director, Compliance Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of director, compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for director, compliance
  • Oversight and management of the overall compliance framework for, and delivery of compliance support to, our investment businesses in EMEA
  • Interacts with payer representatives to resolve issues identified by payment analyses
  • Assists Managed Care team as needed with contact negotiation requests and payor compliance feedback
  • Develops overall contracting fee schedule model best practices knowledge-base
  • Researches alternative payment methods to ensure payer pricing strategies are maximized and organization goals are achieved
  • Develop third party risk assessment and due diligence processes, in coordination with other functional stakeholders
  • Manage the Company’s SOX framework, which includes conducting the annual risk assessment, scoping for management testing and compliance with the 2013 COSO Internal Control - Integrated Framework
  • Conduct internal control testing and monitor methodologies to validate the presence and effectiveness of key controls and ensure compliance with the Company’s internal control matrices, GAAP, and internal policies and procedures
  • Manage or perform the maintenance and preparation of detailed and accurate documentation of controls, including narratives, control descriptions, risk and control matrices
  • Support system implementations to ensure adequate controls are incorporated, change control guidelines are followed, and process changes are documented
Qualifications for director, compliance
  • Ability to support travel to headquarters in San Francisco at least quarterly and as needed for key business meetings
  • Demonstrated ability to independently manage a diverse and demanding workload
  • Conscientious about quality of work
  • 5+ years of experience working in an actuarial, finance, accounting, or risk management role at a major financial institution
  • A professional designation in actuarial, finance, accounting, or risk management (while not required, an FCIA is an asset)
  • In-depth knowledge of MCCSR is an asset

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