Junior Compliance Job Description

Junior Compliance Job Description

182 votes for Junior Compliance
Junior compliance provides guidance to the business on the requirements of key legislation, regulations, standards, best practice, core compliance areas, regulatory and reporting frameworks.

Junior Compliance Duties & Responsibilities

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

Sample responsibilities for this position include:

Maintain Engineering and Production documentation for agency regulatory compliance (UL, CE, FCC, CCC, BSMI, ROHS, REACH)
Provide technical guidance on International Hazardous and Dangerous Goods compliance requirements (Battery regulations, WEEE, REACH)
Have daily oversight of institutional and private client investments for adherence to investment guidelines and objectives
Support senior compliance officers with the on-boarding of new accounts
Maintain account guidelines in compliance monitoring systems and address exceptions with portfolio management and trading
Perform compliance related reviews to determine adequacy of internal controls and to ensure compliance with laws, regulations and internal policies
Prepare monthly and quarterly compliance certificates
Review and prepare materials to comply with regulatory filings
Maintain compliance logs
Serve as a liaison between equity trade desk and compliance department

Junior Compliance Qualifications

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

Licensing or Certifications for Junior Compliance

List any licenses or certifications required by the position: IAT, DOD, CISSP, CISA, ISO, JIFSAN, CIA, SOX, VCO, VCA

Education for Junior Compliance

Typically a job would require a certain level of education.

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

Skills for Junior Compliance

Desired skills for junior compliance include:

Compliance tests procedures and requirements
Technical compliance requirements
Broker Dealer
Equities and equity-linked products is key
FCM environment
Financial intermediaries
Relevant legislation and regulatory requirements

Desired experience for junior compliance includes:

Review daily and monthly allocation reports
Work with other members of the Legal/Compliance department projects and audits as they arise
Communicate risks, guidelines with producer
Travel and expense work for the Compliance team
Occasional administrative duties as needed
Everyday core compliance duties

Junior Compliance Examples


Junior Compliance Job Description

Job Description Example
Our growing company is hiring for a junior 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 junior compliance
  • An understanding of how other processes within the Bank may impact the research department
  • Experienced in dealing with Research and Research Analysts across asset-classes
  • Experienced in dealing with other non-Research departments who regularly interact with research
  • Bachelor's or Master's degree in Economics or other related discipline
  • You will foresee all vendors operations and ensure that they are following the Brand’s standard requirement
  • Communicate well with the vendors and discuss on improvement that can be done
  • Keep a good relationship with the vendors
  • Follow procedures and bring in new ideas for improvement
  • Rectify and solve any automation issue for current vendors
  • Train restaurant staff on using a device and our procedures
Qualifications for junior compliance
  • Candidates for this position are required to have hands-on experience in EMC test setup and testing
  • Good understanding of global consumer electronics EMC and Product Safety standards
  • Understanding of environmental / sustainability requirements such as Prop 65, RoHS, Reach, preferred
  • Exposure and working knowledge of wireless technologies such as WIFI and Bluetooth along with an understanding of networking systems is highly desirable
  • Candidate must have knowledge of Global certification processes and must be able to interact with local certification Labs
  • Work from oral and written instructions, also be able to work independently with minimum supervision

Junior Compliance Job Description

Job Description Example
Our company is growing rapidly and is hiring for a junior compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for junior compliance
  • Ensure the partner succeeds in the following weeks, perhaps with a follow-up
  • You will directly monitor daily operations and find immediate solutions regarding a wide range of operational issues
  • Take control in devices recollection for deactivated vendors
  • Interact closely with other members/teams in the company (content, sales, operations, finance )
  • Bring further structure, direction, solutions to embed a new governance, risk and compliance approach, mind-set and framework in to the fabric of EPM, Europe Functions and GDBS
  • Be the on the ground contact between Financial Controllers and CAS, shaping the relationship and driving an aligned WoW
  • Joining together all elements of the risk and governance agenda to build an effective, risk minded and fully joined up business
  • Lead an efficient and risk based assurance process, leveraging analytics
  • Lead all reporting activities associated with annual ACC/CoBC training, and other Compliance training initiatives, helping build capability with the business and Compliance Ambassadors
  • Support and hold the GDBS / Group Functions / in-market teams to account to achieve flawless delivery of CARM cycle steps (mapping, scoping, test of design and effectiveness, audit issue management
Qualifications for junior compliance
  • Certified in CISSP/CISA OR Security+
  • You have a proven track record of personal, academic and professional achievements, already demonstrated leadership and graduated with an outstanding degree from a top university
  • Flexibility, restaurants do not always operate on 9-to-5 schedules
  • Ideally you have already gained international experience and are ready for new challenges
  • High motivation and excellent team player
  • Willing to learn and explore new tools

Junior Compliance Job Description

Job Description Example
Our innovative and growing company is hiring for a junior compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for junior compliance
  • Support new migration pipeline into GDBS, markets and Group Functions from a controls & compliance perspective (Control mapping, assessment update, warranty testing)
  • Coordination of the tasks of internal auditors / Risk & Control specialists / analysts
  • Support the GDBS compliance and ethics agenda to ensure exemplary behaviours and compliance across the business with global policies and guidelines
  • Provide admin support for departmental tasks and work as a cover for group assistant when required
  • Prepare deliverables relating to VAT compliance services
  • Liaise with the clients and the VAT Authorities
  • Receive regular feedback offering guidance to help ensure your constant development
  • Projects may include regulatory interpretation, compliance technical report preparation (REACH, ELV, SOC, GHS, TSCA, Consumer Product Safety Act, ), product regulatory validation, and sustainability services
  • Providing an administrative function to the Compliance team
  • Assisting the consultants with monitoring and testing of compliance programs
Qualifications for junior compliance
  • Basic tax awareness / tax knowledge (based on local or EU legislation) depending on experience
  • University degree in Tax, Accounting, Law or Economics or almost finished
  • Second foreign language (German, Spanish, Italian will be an asset but not required)
  • Knowledge of ERP systems (SAP, Oracle) will be an asset but is not required
  • Must have a college degree with strong grades
  • Positive and

Junior Compliance Job Description

Job Description Example
Our growing company is looking for a junior 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 junior compliance
  • Email review
  • Monitors LOB compliance activities to verify that regulatory compliance deadlines and requirements are met
  • Tracks and validates product compliance deficiencies to completion
  • Prepares and approves internal and customer communications covering compliance issues (bulletins, position statements, monthly reports
  • 50% - Assist in the auditing of employee T&E submissions
  • Consult the IT organization in all questions of RIC, and internal and external auditors and regulations in order to help the regional IT organization reduce risk and maintain compliance with all existing rules, achieving it goals and passing audits
  • Proactively create and lead solutions to improve the auditing and controls process
  • Administration and assessment of internal and external controls, clarification of responsibility for the execution of internal controls for the region, continuous check of control execution, ICFR coordination and assessment for all IT services regional IT is responsible for
  • Coordination of audits (planning activities for audits, including coordination of data collection, set up and track action items, schedule meetings)
  • Consult in all questions of internal controls and ICFR in handling ICFR/RIC tools
Qualifications for junior compliance
  • Minimum 6 years’ experience, preferably gained in a multinational (ideally multicultural/multilingual) corporate environment
  • Proven experience of influencing cross functional and remote working within own team and stakeholders
  • Skilled in delivery and project management, verbal and written communications and driving process improvements
  • Experience of delivering a robust, risk based assurance process is a must
  • At least 4 years Audit experience (internal/external) and/or SOX experience is an advantage but can be replaced by thorough accountancy / finance / controlling / FMCG business / shared service process understanding
  • Ability to identify risks and can apply them to broad areas

Junior Compliance Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of junior 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 junior compliance
  • Proactively create, lead and implement solutions and remediation plans in collaboration with the IT team for deficiencies related to audit or testing findings
  • Participate in documenting and implementing a process to ensure that GBS-owned applications are secured and controlled and that the risk of using them is managed
  • Participate in the implementation of all relevant internal standards to GBS-owned/managed applications
  • Work on developing, documenting, implementing and maintaining security compliance methods and solutions to fully protect GBS-owned/managed applications
  • Implementing and reporting security controls over GBS-owned/managed applications
  • Execution of systematic security reviews of GBS-owned/managed applications
  • Make documented proposals and recommendations for the evolution of the design and management GBS-owned/managed applications where needed
  • Define, document, implement and maintain security policies and procedures
  • Develop security requirements for GBS-owned applications
  • Define, document and implement dashboard, metrics and KPI
Qualifications for junior compliance
  • Good ability on prioritization, urgency, problem solving and decision making
  • Basic Compliance knowledge
  • Work experience at other foreign firms in the financial industry
  • Good communication skills (both verbal and writing) coordination skills
  • Advanced level of computer literacy (in particular, Excel, Powerpoint & Access)
  • Office packageCompliance

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