Leader Compliance Job Description

Leader Compliance Job Description

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Leader compliance provides guidance and education to individuals to ensure compliance with applicable programmatic laws, regulations, standards and institutional policies;.

Leader Compliance Duties & Responsibilities

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

Sample responsibilities for this position include:

Working with WWPS leaders, develop a strategy to influence and measurably impact public sector customers’ perception and experience around AWS’s world-class cloud security and compliance capabilities
Partner with team leader of insurance licensing in workflow management and delivery of quality L&R client experience
Review firm process and procedures for compliance with industry regulations relating to investment advisory and ERISA/IRS rules and regulations
Handles one-on-one meetings with employees and senior management to discuss training/performance issues
Collation of reporting and preparation & delivery of comprehensive and clear testing reports to/for key stakeholders at compliance councils and other set operating rhythms
Identifies potential areas of compliance vulnerability and risk within Shire in association with external vendors and business partners
Lead a team of Compliance Relationship Officers
Support the Senior Team Leader with coaching and talent management to ensure team effectiveness
Manage employee performance through coaching and feedback
Ensure expectations and performance measurements are clearly understood and geared toward helping employee reach their career goals

Leader Compliance Qualifications

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

Licensing or Certifications for Leader Compliance

List any licenses or certifications required by the position: ISO, PMP, ACAMS, CFCS, CFIA, USMCA, LSS, OSHA, SHRM, PLL

Education for Leader Compliance

Typically a job would require a certain level of education.

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

Skills for Leader Compliance

Desired skills for leader compliance include:

Applicable laws and regulations
Experience
To review Compliance policies and procedures in order to ensure their adequacy and to monitor compliance
Usually acquired through formal education
Audits and investigations
BSA
Cryptocurrencies is strongly
Environmental impact assessment
Experience in the delivery of complex compliance and governance programs
KYC and Enhanced Due Diligence “EDD” high risk reviews

Desired experience for leader compliance includes:

Strong working knowledge of the applicable regulatory principles and rules
Manage operational and security Risk and ensure open risks are tracked
Must be detailed oriented to maintain a high level of quality demanded by working on time sensitive matters
Must be able to work well with others in a team environment handling peak volumes
Advanced investment concepts, practices and procedures used in the securities industry and registered investment advisory business
Making principle-based and analytical decisions

Leader Compliance Examples

1

Leader Compliance Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of leader 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 leader compliance
  • Maintain awareness of applicable regulations, and monitor activities related to changes to regulations
  • Participate/support Product Stewardship Projects
  • Participate in the Service Desk continuous improvement process
  • Lead Canadian health care quality continuous improvement processes through best practice sharing, standardization, and effective tool deployment to include Lean, Six Sigma, SPC, PPU
  • Develops the annual compliance monitoring and inspections program against corporate objectives and commensurate regulatory risk levels, the review and approval of inspection reports
  • Assists the CCO and compliance department practice leaders in preparing communications to both senior leadership and BOD required quarterly reporting and key stakeholder updates
  • Approves the strategy for each business unit inspection and ensures programs are updated / modified related to large scale business changes
  • Monitors the regulatory environment and determines impact on programs at both the strategic and tactical execution level and partners with the legal department to analyze, respond and resolve required changes to programs
  • Maintains a broad awareness of the investment industry, related regulatory and policy changes and is viewed as a technical expert on the potential impact they have to the organization
  • Monitors overall project portfolio against expected progress and designated delivery dates
Qualifications for leader compliance
  • Very strong analytical ability, identifying potential areas of concern
  • Build, coach, and direct a group of Team Leaders into a highly responsive team that meets the required productivity performance standards
  • Establish and maintain relationships with other managers and business units, and support functions throughout the organization
  • Ability to recognize the need for change management initiatives, and the ability to lead these while maintaining and driving teammate engagement
  • Ability to effectively balance company and customer needs to deliver against NPS targets and business goals
  • Proficiency in external systems (Internet, Office Applications)
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Leader Compliance Job Description

Job Description Example
Our innovative and growing company is hiring for a leader compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for leader compliance
  • Attract, develop, and retain talent so that the department is adequately and professionally staffed for future growth
  • Effectively utilize firm resources, especially in relation to people, technology, money, and time
  • Collaborate and partner with leadership and other business area's to ensure appropriate compliance support is integrated into firm projects and initiatives
  • Continually develop and tailor solutions to various audiences in a fast-paced autonomous environment while quickly identifying branch, associates and other departments needs and providing proper solutions that align to compliance laws and regulations
  • Facilitate Business Process Improvement projects (under Black Belt Guidance) using Lean Six Sigma discipline and includes the coaching, coordination, and management of projects across the department
  • Manage the evaluation of business issues, both internally and externally (Federal / State / Other Governmental Regulations) and develop compensation solutions in support of stakeholders needs
  • Accountable for ensuring continuity and successful delivery of required audits and evaluations to ensure compliance with city, statutory and national legislative changes impacting compensation
  • Creating/reviewing ad-hoc analyses of compliance, identifying trends and recommending appropriate actions
  • Manage analyses, auditing and ensuring regulatory/legal compliance on matters related to compensation
  • Manage 1 analyst
Qualifications for leader compliance
  • BA/BS degree or educational equivalent
  • Travel throughout the region and the US will be required about 30-40% of the time
  • Law degree or CPA, CFA, CLU, FLMI designation a plus
  • A minimum of 7 years related securities/compliance background within insurance, investment banking/asset management
  • Bachelor's degree required and Master's degree strongly preferred in a training-related field such as adult education, instructional technology, business or psychology
  • Technical Knowledge- Strong grasp of code of conduct, business ethics policies and current compliance practices and industry standards in a relevant services space
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Leader Compliance Job Description

Job Description Example
Our growing company is looking to fill the role of leader 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 leader compliance
  • Provide assistance in developing and implementing key internal controls for new acquisitions in the region
  • Create and document key internal controls relative to new and current processes
  • Working closely with the Plant Finance Controller and Operational teams review operational metrics and KPIs to ensure manufacturing performance is measured appropriately for each respective business and product group
  • Create a link between the SOX requirements and the commercial requirements of the site ensuring SOX controls are linked to driving improvements in financial performance, working with the corporate controls team to standardize any changes
  • Perform process reviews to evaluate internal controls, information systems, and current business practices to ensure they are operating in accordance with SOX compliance/documentation requirements and established corporate policies
  • Assist in the development and continuous analysis of identified key internal controls to ensure SOX documentation remains effective
  • Help improve the internal control environment by streamlining the performance of manual controls through the use of technology
  • Identify SOX impact of changes in the control environment due to changes in accounting regulations, internal control policies, and system enhancements or implementations, and make determinations for changes to existing control processes or adding new control processes when necessary
  • Constantly seeking to value-add to current process, information system, and business growth
  • Provide fundamental guidance and standards for ensuring that the actions taken by internal control process owners are adequate to support quarterly and year-end management assertions in their assessment of an effective internal control environment
Qualifications for leader compliance
  • Demonstrable verbal and written fluency in English
  • Reporting tool Oracle’s BI/Discoverer/Business Objects
  • Excellent communication and writing skills including policy and procedure development
  • Must have a passion for innovation, be comfortable defining a way forward in the face of ambiguity, have the ability to scale and influence broadly, and the ability to dive deep and pay attention to details
  • Must enjoy working in a highly collaborative, fast paced environment
  • Experience as the Chief Information Security Officer (or equivalent) of a public sector entity (government agency, educational institution, ), or of an enterprise in a regulated industry (financial services, healthcare)
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Leader Compliance Job Description

Job Description Example
Our innovative and growing company is hiring for a leader compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for leader compliance
  • Managing the orders on hold in internal system
  • Reviewing booked orders for SOX compliance
  • Obtaining all relevant documents for audit and ensuring all approvals levels are gained
  • Working with the Revenue Accountant on high value orders for audit review
  • Monitor credit and expense requests
  • Supply daily reports to alert the Order Entry team of DPL screen holds/ GM-Recheck Holds and ensure these are managed in a timely fashion by the team to prevent shipping backlog
  • Develop and provide reference tools and processes for the region
  • Working with the global systems/IT team to assist rolling out new processes to the team and ensure training is provided
  • Willingness to work non-standard working hours [between 3 pm -11 pm Polish time]
  • Develop programs to improve, test, audit and monitor new and existing technologies to ensure S&P regulatory and business requirements are met
Qualifications for leader compliance
  • International travel is a requirement
  • Significant travel is expected
  • Support to Ombuds - Coordinate with region/global business Ombudsperson and local ombuds to
  • Excellent and demonstrated project management skills and attention to detail in leading projects and activities in a global organization
  • Client orientation with a constructive approach to resolution of issues
  • Ensuring the factory Quality Management System and associated activities are in compliance with current good manufacturing practice (cGMP), market regulations, regulatory licence requirements and RB Business Management System
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Leader Compliance Job Description

Job Description Example
Our growing company is hiring for a leader 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 leader compliance
  • Ability to work closely with Solutions Executive/Architect teams to build executable documents for clients
  • Oversee assessment procedures as prescribed
  • Supervise, mentor, and oversee Compliance Specialists and Investigators
  • Complete first level review of Compliance Specialists and Investigators analysis and recommendations
  • Ensure appropriate collection and analysis of documents to obtain a complete understanding of the client and identify unusual transaction patterns
  • Identify trends or typologies of incoming referrals to the Unit
  • Provide influence and execution of the division's operational excellence strategy
  • Own or manage projects using business process improvement discipline and principles
  • Accountable for the providing direction, aligning resources, identifying and resolving project issues, and successful delivery of project outputs
  • Track metrics to assure projects progress on schedule, achieve stated goals and provide optimal results
Qualifications for leader compliance
  • Registered nurse with clinical and health care operational leadership experience in inpatient, emergency, and outpatient settings
  • Minimum of 6 years of pharmaceutical/biotechnology industry experience in PV including clinical trial and post-marketing
  • Demonstrated mastery of the activities and processes related to single case processing and aggregate reporting
  • Proven experience and success in employee benefits/retirement consulting with a focus on financial and business performance
  • Prior experience in a professional services firm or legal environment preferred – JD, LLB or CPA a plus
  • Experience selling and delivering compliance solutions to large organizations

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