Global Compliance Job Description

Global Compliance Job Description

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Global compliance provides advice to Sales and KYC support staff on standard and enhanced due diligence KYC documentation requirements in accordance with KYC policy.

Global Compliance Duties & Responsibilities

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

Sample responsibilities for this position include:

Report to the Head of Global Compliance and support Global Compliance Officers responsible for the four core ISC Global Compliance Teams and provide ongoing management of employees in Hyderabad responsible for Private Wealth Risk Management and Anti-Money Laundering (AML) Compliance, Code of Ethics oversight, GCMT, International Compliance team and GCMT Testing and Monitoring
Establish and maintain quality standards for work performed by the Global Compliance Team and work with the Global Compliance Officers to develop compliance goals/metrics and oversee the team’s efforts to achieve compliance with such goals/metrics
Work closely with Global Compliance Officers to support the Compliance Teams in the transition and implementation of new processes to the ISC Global Compliance Teams
In partnership with Compliance, investigate significant Compliance failures as directed by Global Leads and/or Regional Heads
Your role is to provide compliance advice and guidance to Global Markets business in China to ensure all the related local and Group compliance requirement are adhered to, in particular in areas of various market making qualifications, custodian license, cross border RMB business
It is critial to provide compliance training to staff on Markets businesse ensure the country Markets regulatory compliance requirement is included and maintained
Support Global Compliance Management in identify potential areas of compliance vulnerability and risk
Responsible for hiring of new ISC Compliance staff in coordination with the Global Compliance Managers
Attend meetings with the Global Compliance Officers to discuss and implement strategy for the Global Compliance Team
Manage and oversee the global anti-corruption compliance program

Global Compliance Qualifications

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

Licensing or Certifications for Global Compliance

List any licenses or certifications required by the position: NAFTA, CPA, EAR, ITAR, ECTI, US, AEO, IAPP, ACFCS, ACAMS

Education for Global Compliance

Typically a job would require a certain level of education.

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

Skills for Global Compliance

Desired skills for global compliance include:

AML/KYC issues
Compliance
KYC/Due Diligence
Excel
OFAC
“Boolean Search” logic techniques
Visio
Investigations
Working AML/KYC related issues
PowerPoint

Desired experience for global compliance includes:

Experience within a Sales environment a must
Development and execution of annual risk assessment and annual compliance plan
Oversee pre-clearing of employee expenses including charitable contributions and gifts and entertainment
Maintain anti-corruption policies and procedures
Monitor exception reports and create/track key metrics
Development and implementation of monitoring and testing program

Global Compliance Examples

1

Global Compliance Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of global 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 global compliance
  • Work with the Global Security investigations team to drive continuous improvement to the investigations process
  • Appreciative of the importance of a holistic compliance programmes and a commitment to consistency in global standards
  • Be knowledgeable in the core processes and regulations that apply to the core teams including Anti-Money Laundering and sanctions compliance, Code of Ethics reporting and monitoring (including SEC Rules 17j-1 and 204A-1)
  • Plan, coordinate, direct, and manage compliance projects and reviews to ensure deadlines are met
  • Support Global Compliance Management in regulatory matters
  • Support the development of policies and procedures for the core business processes of the Global Compliance Team
  • Lead the Compliance teams in the streamlining of all the core team responsibilities and functions, including workflows between teams as appropriate
  • Work with the Compliance Teams on learning, development and cross-training initiatives, and provide appropriate guidance with the implementation of new processes within their teams
  • Identify key resources and opportunities to improve synergies between teams to improve or enhance the Global Compliance service delivery to the business lines supported
  • Demonstrate strong leadership and team building skills and foster a sense of team work within the ISC Global Compliance Department
Qualifications for global compliance
  • Oversee monitoring of majority owned or controlled entities
  • Evaluate risk profile of entities with complex ownership/holding structures for multiple business units globally to identify majority owned or controlled entities
  • Evaluate risk profile of entities to determine which anti-corruption program requirements best fit the entity’s risk profile
  • Develop targeted monitoring to address risk profile
  • Oversee monitoring of agents, finders and consultants
  • Develop targeted training and monitoring to address anti-corruption risk for third party agents
2

Global Compliance Job Description

Job Description Example
Our growing company is looking to fill the role of global 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 global compliance
  • Lead and organize meetings with supervisors and the ISC Global Compliance Team as necessary
  • Partner with Human Resources to identify, provide and lead learning and development opportunities for the Compliance Team Leaders through coaching and mentoring ensuring continued Leader engagement and development and be the contact for all HR related matters
  • Ensure appropriate succession planning is in place for compliance staff, and managers
  • Monitor staff performance measurements in conjunction with the local supervisors and Global Compliance Officers and provide timely feedback to staff
  • Act as Global Compliance representative at the ISC Management Committee meetings
  • Participate in the Global Compliance staff and committee meetings as required
  • Conduct sensitive investigations
  • Conduct sensitive Level 1 or Level 2 investigations
  • Provide investigations training for Level 3 investigators
  • Provide metrics and identify trends for the Corporate, SBG, and Regional Integrity and Compliance Councils
Qualifications for global compliance
  • Develop technology solutions for monitoring of agents and finders
  • Substantial experience in performing ASC 740 reviews /calculations for major US based global company
  • Technically astute to have the ability to deal with both technical and business groups within the organization, with payment networks and decipher/read technical specifications
  • Critical thinking skills and analytics experience
  • Prior managerial experience of a staff of approximately six (6) employees
  • Subject matter expertise of the Regulatory requirements (SEC 13F/G Reg
3

Global Compliance Job Description

Job Description Example
Our company is looking to fill the role of global compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for global compliance
  • Develop performance standards and metrics within the advisory teams and work with Central Compliance teams to enhance general Compliance MIS
  • Work with the Regional Markets Compliance Heads to assess ongoing resource needs with Business leads and Compliance management and undertake recruitment as necessary
  • As part of the NIBT team, to develop and agree with outsourcers steps in, and timings of, compliance cycle for each NIBT filing
  • To review, approve and action as necessary to ensure that all issues relating to NIBT filings, and all tasks in the compliance process, are completed correctly and on time
  • To manage the filing and payment part of the compliance process for NIBT filings as required
  • Reporting on the status of projects and results of internal control assessments to senior compliance and controlling leadership
  • Co-ordinate and drive forward the implementation of regulatory change programmes within Compliance and the businesses
  • Work with the Regional Markets Compliance Heads and regional Business leads to ensure key risks and emerging are regularly reassessed, are well understood within the businesses and mitigation initiatives on track
  • Significant experience (minimum 10 years) in senior Compliance advisory role at major investment bank(s)
  • Provide direction and guidance to business process owners on Quote-to-Cash compliance management programs, including driving improvements and transformation
Qualifications for global compliance
  • Ability to lead partnerships with groups that need to be integrated (Ops and Advisory)
  • Knowledge of UK AML regulation and guidance understanding of USA PATRIOT Act, Bank Secrecy Act and/or AML regulations issued by U.S. securities, commodities and futures regulators
  • Has familiarity with international payment practices and systems is preferred (ex
  • Broad technical expertise across technologies used by the Company
  • Establish strong communication amongst local and global teams, liaising with overseas counterparties
  • Oversee and lead conflict checking, escalate issues in timely manner
4

Global Compliance Job Description

Job Description Example
Our company is looking to fill the role of global 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 global compliance
  • Prepare and deliver compliance related reporting, including senior management
  • Support the regional Compliance teams in the implementation of their regional testing plans
  • Compliance and Ethics Program (“CEP”) Support
  • Ensure all management reporting is completed, timely and accurately
  • Undertake other special projects as needed
  • Work with leaders from Global Security, HR, Communications, ISC, and the I&C Councils to identify trends and implement corrective actions
  • Assess, develop, and implement I&C integration plans for newly acquired companies
  • Provide live training at key new M&A sites
  • Conduct focus groups and use OVOC tools to identify and address I&C concerns
  • Develop and roll out I&C tools
Qualifications for global compliance
  • Communication with local regulatory officials
  • Good team player, comfortable speaking with diverse global counterparties
  • Good co-ordination skills to manage many moving parts
  • Proven leadership and team building skills required
  • Graduate or Post graduate degree with back ground in international risk management or compliance preferred
  • CA or CS or LLB
5

Global Compliance Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of global 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 global compliance
  • Post go-live, ensure compliance deadlines are being met by providing support to the overall process as necessary
  • Work with Communications, the Learning Hub and other key stakeholders to ensure effective rollout of I&C tools, including updates to the Code of Business Conduct, the Policy Manual, online training, Leading with Integrity, and other key initiatives
  • Tailor I&C tools to meet the needs of local cultures and functions
  • Manage key I&C vendors, including online training providers and video content providers to ensure content is delivered in a timely, cost effective and impactful manner
  • Respond to I&C questions, and address requests from third parties such as Ethisphere and other NGOs
  • Partner with stakeholders to maintain global policies and requirements helping ensure that they are reviewed and updated to reflect changes in technology, threats and other factors
  • To liaise, and develop strong working relationships, with all external NIBT outsourcers
  • To ensure complete and accurate information is provided to outsourcers for NIBT filings
  • To develop and keep technical NIBT knowledge up to date
  • To improve, enhance and standardise NIBT processes through systems and process improvements
Qualifications for global compliance
  • Act as subject matter expert in Japan Equity Compliance answering inquiries and ad hoc situations from local and global stakeholders
  • Previous experience within Equities, either from Compliance or business perspective
  • At least 8 years supervisory experience, with 8 -10 years of progressive financial services compliance or Internal Audit experience required
  • Prior experience in dealing and interacting with high level management
  • Excellent command of English in both verbal and written communications
  • Ability to interact with senior management on a regular basis and develop partnerships

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