Lead-Compliance Job Description

Lead-Compliance Job Description

163 votes for Lead-Compliance
Lead-compliance provides execution and support of the regulatory compliance function for all products and processes in the Medical Division to achieve regulatory compliance objectives.

Lead-Compliance Duties & Responsibilities

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

Sample responsibilities for this position include:

Clearly understand the technology and operational risk to the Information Technology Services organization related laws, regulations, and industry standards, specifically as related to internal technology solutions
Provide informal mentoring and support for local testing staff in order to aid knowledge transfer and maintain sufficient skill-levels amongst all testing teams
Publish regular testing reports, analysis, and process documentation as required by the management team
Work with line manager to identify and implement best practice to ensure that effective and consistent testing methodologies are applied across different projects
Contribute to the development of materials for the training and education of testers - placing particular emphasis on test quality, reporting and data analysis
Participate in resource planning exercises for all assigned projects
Completion of government forms (5500, 5330)
The IT Compliance Lead Analyst is responsible for managing and ensuring timely delivery of all global Ford Credit Compliance initiatives in which IT plays a role
Liaison directly with management-level customers across all business domains to understand IT’s role in delivering on key Regulatory and Operational Compliance initiatives globally
Responsible for providing timely support/delivery in a very dynamic space in which business requirements frequently change and IT must respond quickly

Lead-Compliance Qualifications

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

Licensing or Certifications for Lead-Compliance

List any licenses or certifications required by the position: CISSP, CISA, CRCM, CISM, PCI, ISO, PMP, ACAMS, SOX, ITIL

Education for Lead-Compliance

Typically a job would require a certain level of education.

Employers hiring for the lead-compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Associate Degree in Business, Education, Finance, Law, Technical, Engineering, Business/Administration, Graduate, Computer Science, Science

Skills for Lead-Compliance

Desired skills for lead-compliance include:

Excel and PowerPoint
Relevant industry regulations and regulatory compliance in a specific area
Regulations and regulatory expectations
Competitive/regulatory landscape and the company's key challenges
Regulatory compliance requirements
Compliance laws
Regulatory compliance to consult and provide insight and guidance
Processes and controls
Regulatory compliance requirements and assisting in the identification of compliance risks

Desired experience for lead-compliance includes:

Develop and deliver training to new and existing Compliance team members other impacted groups which support them in achieving excellent performance in their roles
Update certification criteria for all levels of employees per regulatory requirements, ongoing maintenance of database & tracking through continuous assessment within each department
Design and deliver specialized training to teammates around Suspicious Activity Reports (SAR), Know Your Customer (KYC) policies, OFAC Watchlist Management, Customer Identification Processes (CIP) and other Transaction Monitoring programs
Conduct regular reviews of the impact and effectiveness of all training undertaken, developing tools for monitoring training and evaluation as appropriate
ACAMS certification a strong plus
A strong background working in a compliance analyst OR compliance training role

Lead-Compliance Examples


Lead-Compliance Job Description

Job Description Example
Our company is growing rapidly and is hiring for a lead-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 lead-compliance
  • Responsible for minimizing/eliminating exposure to all vendor non-compliance issues impacting business results
  • Manage weekly reports and chargeback invoices to 3PL, suppliers and carriers
  • Thoroughly read compliance documents and manage/update/create retail compliance matrix
  • Know when to escalate vendor violations and performance issues based on established standard operating procedures
  • Perform remote and onsite vendor assessments
  • Analyze risks associated with using a vendor on current and future outsourcing projects
  • Lead and plan an audit with minimal or no input from the Job Manager
  • Work independently and with minimal supervision or guidance
  • Communicate with upper levels of management with the ease and skill of a Manager
  • Work directly with high level attorneys and Compliance personnel
Qualifications for lead-compliance
  • An extremely high level of personal integrity and discipline
  • Interest and rapidly gain aptitude with little direction in order to understand processes, platforms and products in internet marketplaces
  • Previous experience in an IT Security and Controls role
  • Previous experience in an Infrastructure and/or Application Support role
  • Solid understanding of Business Continuity and Disaster Recovery practices
  • Excellent project management, planning, and meeting facilitation skills

Lead-Compliance Job Description

Job Description Example
Our innovative and growing company is hiring for a lead-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 lead-compliance
  • Lead or participate in technical or non-technical projects related to the entire department
  • The Lead Compliance Specialist will report to a Manager
  • The Lead Compliance Specialist will have no direct reports for counseling purposes
  • Foreign Corrupt Practices Act control reviews
  • U.S. Government Contract pricing
  • Other work or special projects as required
  • Managing relationship with BMO bank
  • Manage Cash related escalations
  • Project management related to strategic process improvements
  • Admin ownership of OLBB access
Qualifications for lead-compliance
  • Highly collaborative – strong experience working with and influencing cross functional teams on processes, procedures, culture, tools, including strong partnership skills, building relationships, and understanding how to find common ground to deliver on objectives
  • Proven track record of direct engagement with Health Authorities pre-inspections, hosting, and post inspection management
  • Proven track record of successfully working in interdisciplinary teams and of simultaneously planning, coordinating and leading activities on multiple projects in DRA/TechOps or site initiatives bearing Quality Compliance accountability
  • Regularly demonstrated active contributions to line functions or project teams, change or site transfer teams ability to contribute to matrix teams with the necessary strategic thinking
  • Computer literacy in MS-project, Power Point, document management systems, databases and ability to quickly learn new software, tracking tools and associated processes
  • Excellence in negotiation and communication skills capability to influence others in a matrix organization

Lead-Compliance Job Description

Job Description Example
Our company is looking for a lead-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 lead-compliance
  • Exhibit manager behaviors such as communicating in a candid, transparent and persuasive manner, building an optimistic environment, responding resourcefully and constructively to new priorities and challenges, and remaining calm and constructive during tense or stressful situations
  • Reviews testing and analyses performed, monitors evidence gathering for IT control reviews, evaluates results, and confirms conclusions about the adequacy of IT controls
  • Confirms the preliminary results of IT control assessments and conclusions made by the auditor or based on the evidence provided and confirms the facts of the findings
  • Undertaking Continuous and Strategic (thematic) monitoring reviews (to include risk assessment, planning, fieldwork, close out meetings and report production ) in Henley, London, overseas group offices and at third parties as required to ensure company functions are adhering to company policies, procedures and regulatory requirements
  • To undertake ad hoc work/projects as determined by the Head of Monitoring and/or Director of UK Compliance, including providing cover for tasks performed by the Monitoring team
  • Develops and maintains the IPPS-A Operational Audit Plan
  • Participate in functional analysis to document complex process steps, tasks and their inter-relationships with regards to operational and managerial controls
  • Supervise reports, validations sent by team members
  • Define and monitor implementation of plans and objectives, in line with NGBS strategies
  • Support Streams in the identification of Risks and manage NBS Risk Map ensuring these are appropriately mitigated
Qualifications for lead-compliance
  • Quality type background with problem solving methods
  • A Bachelors will be required preferably with a major in Accounting, Finance or other business disciplines are preferred
  • A professional certification (CIA, CPA, CMA, or CFE) is strongly preferred
  • This position will require up to 35% domestic and/or international travel
  • Advanced/Fluent level of English
  • Computer literate with extensive experience using development tools such as a Parts List system (SAP), a Configuration Management tool (DDTS) and Microsoft Office suite

Lead-Compliance Job Description

Job Description Example
Our growing company is looking for a lead-compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for lead-compliance
  • Support the continuous improvement of ITS and Q-CSV CoE compliance programs associated with remediation follow-up activities for new regulation gap closure
  • Work with the Operations and Quality groups to interpret and evaluate risk associated with internal audit and health authority inspection findings and provide compliance support to ensure the development of robust corrective action plans that address the root cause of issues
  • Perform gap assessments between current practices and new regulatory expectations, as communicated via new health authority regulations, guidance, and enforcement trends
  • Support Health Authority inspection readiness activities
  • Contribute to the content for writing SOPs, WIs and Policies for compliance programs
  • Build and maintain trusting, collaborative relationships and partnerships with internal and external stakeholders to accomplish business objectives
  • When applicable, lead the delivery of education and training on compliance requirements, procedures and controls
  • Handles to completion escalated customer concerns ensuring resolution in a timely and accurate manner
  • Remains proficient in all representative responsibilities
  • Strong communication skills and ability to interact with internal IT, legal and business partners
Qualifications for lead-compliance
  • Proven team leadership, coaching and mentoring
  • Strategic thinking/ conceptual thinking
  • Demonstrated experience in IT Governance and Compliance
  • Working knowledge of Risk Management, Information Security, Controls, and IT Audit practices or some combination thereof
  • Working knowledge of global Privacy Regulations
  • Applied knowledge of Project Management tools

Lead-Compliance Job Description

Job Description Example
Our innovative and growing company is looking for a lead-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 lead-compliance
  • Execute existing interpretations of regulatory requirements and quality standards
  • You will be the lead for Regulatory visits (Kosher/Halal/Trading standards) and external Quality & Food Safety Audits, addressing any actions and communicating them
  • As a people manager you will ensure total employee involvement – Building capability with your team, 100% Performance Development Plans in place, Compliance to standards , performance management and adherence to our Quality & Food Safety Pre Requisite Programmes
  • Responsible for NCQA compliance and documentation for specific NCQA standards (as related to Appeals and Grievances)
  • Acting as the point of escalation for a vendor team of analysts to surface policy queries, technical issues and potentially disruptive operational issues
  • Oversight of a growing vendor team to ensure that TATs and SLAs are maintained
  • Supporting the scaling of operations through diligent resource planning, volume forecasting and upstream risk management
  • Apply analytic techniques to complex information sets in order to make logical and supported recommendations
  • Consistently seeking operational efficiencies through process enhancements and policy improvements
  • Maintain documented policies, flowcharts and desktop procedures
Qualifications for lead-compliance
  • General working knowledge of IT processes, risks, and controls in the computer operations, system development, change control, and security functions
  • Knowledge and experience with Sarbanes-Oxley (“SOX”) and risk-assessment practices, and identifying and testing IT General Controls (“ITGCs”) in a variety of technical environments, including mainframe, Unix, Windows, Oracle databases, SQL databases
  • Ability to interpret and clearly document IT threats, risks and impacts to all levels of the organization
  • Performs audits of protocols, study phases, raw data, amendments and final reports of non-clinical, analytical and bioanalytical studies conducted in compliance with international and domestic GLP and OECD GLP regulations (in-house and multi-site as applicable), Study protocols and Procedural documents
  • Uses discretion and independent judgment in providing recommended corrective actions to management and key study personnel
  • Independently perform qualification audit of subcontractors

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