Intermediate Compliance Analyst Job Description
Intermediate compliance analyst
provides thought leadership on applicable securities laws, rules, regulations and interpretive guidance related to communications with the public.
Intermediate Compliance Analyst Duties & Responsibilities
To write an effective intermediate compliance analyst job description, begin by listing detailed duties, responsibilities and expectations. We have included intermediate compliance analyst job description templates that you can modify and use.
Sample responsibilities for this position include:
Review product advertising materials for compliance with State advertising laws and regulations, and federal/state securities laws and regulations
Possess and apply broad knowledge of concepts and principles or exhibits technical expertise in a specific area
Performs special projects as assigned by the Manager or Director
Assists in maintaining records and compiling information requested for SEC and divisional audits
Completes work assignments by following procedures and policies, and using data and resources
Pursues self-development and effective relationships with others by sharing information with coworkers and customers
Manages projects of medium size or complexity, or components of a larger project
Develops and executes project plans which include schedule and resource forecast
Manages project financials for medium size projects
Manages project performance (e.g., on time, on budget, within scope and with quality) and provides input and justification for costs and budget impact
Intermediate Compliance Analyst Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Intermediate Compliance Analyst
List any licenses or certifications required by the position: CAMS
Education for Intermediate Compliance Analyst
Typically a job would require a certain level of education.
Employers hiring for the intermediate compliance analyst job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Legal, Business, Financial Services, Finance, Education, MBA, Pre-Law, Marketing, Economics, Graduate
Skills for Intermediate Compliance Analyst
Desired skills for intermediate compliance analyst include:
Industry practices
Regulations
Rules
Securities laws
Techniques and standards
Applicable FINRA licensing
Contract law and company operations
Concepts and principles
Exhibits technical expertise in a specific area
Investment Company Act and related securities regulations
Desired experience for intermediate compliance analyst includes:
Manages project activities related to organizational change management (e.g., development and execution of user adoption, implementation, and training plans) as defined by the project
Ensures adherence to established processes and policies
Leads the allocation of resources, scheduling and tasks assignments by following proper project management practices
Manages the work of project teams
Assembles internal or external resources which ensure the alignment of team member skills and strengths with project demands
Promotes project vision and objectives with project team
Intermediate Compliance Analyst Examples
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Intermediate Compliance Analyst Job Description
Job Description Example
Our company is growing rapidly and is hiring for an intermediate compliance analyst. 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 intermediate compliance analyst
- Monitors project risks with guidance from a more senior Project Manager and escalates when appropriate
- Monitors the compliance of project plans by ensuring team members follow policies and procedures
- Ensures the alignment, buy-in, and coordination of diverse project stakeholders by building rapport with internal customers, third party vendors, and senior management
- Identifies and works closely with key stakeholders
- Provides insight to key stakeholders and project sponsors by developing project goals, setting the prioritization of deliverables, discussing involvement of business processes
- Communicates tough issues to stakeholders and keeps an independent opinion
- Assists with reviews of vendor performance levels and ensures service level agreements are met
- Supports the contract negotiation process with service vendors and reviews project invoices submitted by vendors for accuracy
- Key liaison for regulatory audits – preparation and coordination of audit requirements
- Assist in the development, maintenance and implementation of policies and procedures
Qualifications for intermediate compliance analyst
- Two (2) years experience implementing large, complex projects in a corporate environment
- Three (3) years experience working with an IT Service Management (ITSM) framework
- Four (4) years experience in business analysis
- Two (2) years experience working in a large matrixed organization
- Three (3) years experience working with Microsoft Project
- Two (2) years experience in infrastructure implementation
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Intermediate Compliance Analyst Job Description
Job Description Example
Our innovative and growing company is hiring for an intermediate compliance analyst. 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 intermediate compliance analyst
- Reviews monthly and daily transaction alerts
- Conducts real-time transaction monitoring for interdicted names
- Conducts Quality Assurance reviews as needed
- Liaise with Increased Risk Review Team in Poland on transaction reviews, client information updates and escalations
- Supports senior staff in responding to regulatory and internal audit requests, ad-hoc transaction reviews
- Review current policies and procedures
- Compile information for completion of reporting, including reports for management and state/federal regulators
- Assist team members with research and assigned tasks
- Research and analysis of reports, referrals, and alerts for potential AML or fraud and determining whether to open or close a case
- Conducting simple and more involved external and intermediary fraud and financial crimes investigations with direction from senior level staff
Qualifications for intermediate compliance analyst
- Project Management Professional (PMP) or equivalent project/program management certification
- Bachelor´s degree in Computer Engineering, Industrial or Electrical Engineering
- Experience working with ISO 27001 and compliance
- Experience with infraestructure, audits, systems life cycles
- Experience in continuous improvements in various regions and areas, working with different bureaus
- Experience working with development, codes and applications
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Intermediate Compliance Analyst Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of intermediate compliance analyst. 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 intermediate compliance analyst
- Foster a culture of compliance to help prevent, detect and reduce company risk with respect to financial crime
- Assist, when needed, with the Complaints and Investigations team with complaint handling and regulatory responses
- Effectively complete and take accountability for daily activities while understanding the importance for regulatory requirements
- Review and process Letters of Indemnity and ensure they meet regulatory requirements
- Monitor and resolve escalated suitability concerns as needed and in accordance with internal procedures
- Gather information for regulatory (e.g., state insurance department, FINRA, SEC) and internal examinations
- Review provided information for completeness and accuracy
- Assist in identifying root causes of adverse findings and suggesting opportunities for enhancements
- Assists with metrics and other ad-hoc transaction reviews as needed
- Designs and maintains reports, auditing tools, databases and related documentation
Qualifications for intermediate compliance analyst
- Excellent written and verbal communication skills human relations skills
- 3-5 years of transaction monitoring compliance experience
- Working knowledge of securities markets a plus
- Experience in systematically gathering and analyzing large amounts of data
- Designations including but not limited to ALMI, FLMI, and MCM
- Experience in the insurance industry as it relates to life and annuities
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Intermediate Compliance Analyst Job Description
Job Description Example
Our growing company is looking for an intermediate compliance analyst. 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 intermediate compliance analyst
- Assists in the development and revision of QA department policies and procedures
- Serve as a QA Department representative at internal and external meetings, document and present findings to QA Staff
- Coordinate the SOC 1 and SOC 2 (SSAE18) external audits and similar exercises, such as internal assessments and third-party penetration tests
- Partner with the relevant teams to complete security questionnaires and RFPs from customer and vendors
- Investigate security incidents by gathering information, interviewing relevant parties and identifying containment and remediation strategies
- Work with stakeholders to achieve compliance to frameworks such as NIST, HIPAA/HITRUST, GDPR
- Ensure compliance requirements and best practices are incorporated during the configuration of the Cloud platform
- Coordinate system audits, reviews, and tests to verify compliance with security policies and standards
- Assist in operationalizing risk management to all areas of the business, by identifying and assessing risks to systems and processes, and recommending remediation strategies
- Identify and manage gaps in policy, processes and systems, and work to resolve
Qualifications for intermediate compliance analyst
- Strong attention to detail to assess problems and develop solutions
- High school and 5 years of claims processing, experience in physician, ancillary and/or hospital reimbursement delivery systems or insurance reimbursement, including subrogation and over payment recovery
- Or a Bachelor's degree and one year of experience required
- Experience conducting relevant operations compliance reviews – preferred
- Minimum of 3 years healthcare operations, commercial quality assurance and/or regulatory compliance experience – preferred
- Strong understanding of health care operations, health insurance and managed health care industry
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Intermediate Compliance Analyst Job Description
Job Description Example
Our company is growing rapidly and is looking for an intermediate compliance analyst. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for intermediate compliance analyst
- Develop relevant policies and procedures, and provide improvement recommendations to current policies and procedures
- Analyze and solve complex problems, and make recommendations for how to advance PPL’s cybersecurity profile with a team of motivated individuals
- Perform assessments and help the organization institute and monitor compliance with cybersecurity framework and regulatory requirements
- Balance security best practices and business drivers against framework requirements, business risk, and impact to make recommendations that minimize PPL’s risk profile
- Bachelor's degree and 5 years of related work experience OR 8 years of related work experience (Senior)
- Experience with FERC, NERC, or SOX regulatory requirements, such as standards development or compliance
Qualifications for intermediate compliance analyst
- Strong analytical and organization skills problem solving capabilities
- Strong partnership, relationship and coalition building skills – required
- Consultative and partnership-oriented approach and experience – required
- Reliable judgement and discretion required with strong ability to work independently to identify and navigate commercial compliance-related issues
- Bachelor's degree OR 4 years of related work experience (Associate)
- Bachelor's degree and 2 years of related work experience OR 6 years of related work experience (Intermediate)