Policy & Compliance Analyst Job Description

Policy & Compliance Analyst Job Description

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Policy & compliance analyst provides best in class E&C analytics and data science for the E&C Business Unit, establishes analytics and data science talent and elevate organizational performance.

Policy & Compliance Analyst Duties & Responsibilities

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

Sample responsibilities for this position include:

Draft business documentation as requested , AML Rep Letter
International Compliance Association (ICA), Diploma level in AML and/or KYC or Association of Certified Anti-Money Laundering Specialists (ACAMS) certification, preferred
Maintain the firm’s library of compliance and supervisory manuals
Ensure HIPAA violations do not occur within the program by taking a proactive role in the constant vigilance and rigor to emphasize HIPAA compliance throughout all levels of the program (systems, personnel, and data)
Coordinate, facilitate and be a key resource in the execution of enterprise wide STP PM&C projects, presentations and other materials
Maintain and assist in the development of the framework and governance structure for the STP PM&C team, including the tracking of KPIs, transaction intake and other governance and team processes
Own the tracking and execution of all SLAs and Information Schedules globally, through the coordination with PM&C Managers/Senior Managers and other stakeholders as required
Own the monitoring of new transaction intake
Assist with key process improvement initiatives for the PM&C team
Assist in preparing transfer pricing documentation as required

Policy & Compliance Analyst Qualifications

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

Licensing or Certifications for Policy & Compliance Analyst

List any licenses or certifications required by the position: US, CIPP, III, IASAE, IAM, IAT, II, CISA, PMP, CISSP

Education for Policy & Compliance Analyst

Typically a job would require a certain level of education.

Employers hiring for the policy & compliance analyst job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Education, Business, Engineering, Management, Graduate, Technical, Law, Legal, Finance, Accounting

Skills for Policy & Compliance Analyst

Desired skills for policy & compliance analyst include:

Affordable Care Act
Cancellations and reinstatements
Department goals and business objectives and contribute to best practice development to support the objectives
Endorsements
Proposed terms and plan language to ensure compliant policy issuance
Counterterrorism data sets and handling procedures
Data analytics
Data science
AML
Best practices

Desired experience for policy & compliance analyst includes:

Be a key resource for the coordination of the global team on cross-jurisdictional issues
Analyze the corporate SOX controls to ensure they reflect current processes and mitigate associated financial statement risks
Annual review of Corporate office SOX controls
Update current SOX controls with corporate process owners
Responsible for updating the SOX system of record (Archer)
Analyze sector risk and controls for compliance

Policy & Compliance Analyst Examples

1

Policy & Compliance Analyst Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of policy & 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 policy & compliance analyst
  • Identify changes needed to Corporate accounting policies due to new accounting pronouncements and other changes
  • Provide documentation for updated policies for review and approval
  • Lead SOX weekly coordination meetings with Sector SOX PMO’s, Internal Audit and External Auditors to discuss emerging issues and prepare agenda for weekly meetings
  • Prepare quarterly SOX 10-Q/10-K sub-certification process binder for review by Controller, CFO, and CEO
  • Support the Manager with Enterprise SOX duties as assigned
  • Assist with compliance reviews and special projects as needed
  • Review of employer plan documents and amendments for alignment with Policy language
  • Draft policy limitations language based on interpretation of plan documents and work directly with producers to explain revised terms
  • Formulate, affect, interpret and implement policy procedures, guidelines, strategic imperatives and product updates
  • Consult and advise management of trends in employer plan language and data quality of required reporting and final underwriting requirements
Qualifications for policy & compliance analyst
  • Experience with current technologies used for technical security control reviews, including Microsoft System Center Configuration Manager, IBM Endpoint Manager (IEM) or Tivoli Endpoint Manager (TEM), BigFix, and Tenable Nessus software preferred
  • Strong business acumen and exceptional analytical ability with 3-5 years of relevant experience
  • Advanced SQL business logic and coding skills
  • Bachelor’s degree in finance, business management or like concentration
  • 5 -10 years of market data compliance experience
  • Direct experience with implementing policies, procedures and controls as integral components of a compliance program
2

Policy & Compliance Analyst Job Description

Job Description Example
Our company is looking for a policy & compliance analyst. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for policy & compliance analyst
  • Coordination of on-boarding of new data products while ensuring compliance with market data contracts and compliance with reporting obligations
  • Consulting of customers and internal departments regarding the type of use of market data policy and price changes
  • Independent creation and delivery of notifications about the changes within the organization and to the customers
  • Maintenance of price lists and documentation of usage guidelines
  • Direct communication with suppliers and customers (especially in English)
  • Provide oversight, challenge and critical friend support to the Org ID teams to ensure that at all stages of the client lifecycle, the Policy is accurately described and operationally executed, in both letter and spirit
  • Serve as a point of escalation for Policy related issues raised by internal and external stakeholders
  • Provide input to and periodic oversight of standard operating procedures (SOPs) to ensure they are fit for purpose from a Policy compliance perspective
  • Engage with subscribing financial institutions (SFIs) to support service delivery activities including pre and post implementation work
  • Proactively analyse requests for visas (client-specific requirements) to assess whether Policy change is warranted based on the number and nature of visas in a particular Policy rule set
Qualifications for policy & compliance analyst
  • Experience in Compliance and/or Internal Audit department or related experience’
  • Working knowledge of and the ability to understand source contract obligations
  • Ability to critically review policies and procedures
  • Ability to analyse and document complex business processes
  • Critical thinker - analytical/problem solver
  • Ability to gather and interpret relevant data
3

Policy & Compliance Analyst Job Description

Job Description Example
Our innovative and growing company is looking for a policy & 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 policy & compliance analyst
  • Produce relevant project plans and communication plans
  • Assist in the development, initiation, maintenance, and revision of policies, standards, procedures, work instructions, and guidelines of security programs and related activities
  • Drive communication and implementation of security policies, procedures, and technologies across the organization
  • Work closely with legal to ensure that proper security controls are in place to protect sensitive data of our company, employees, and customers within the law and regulations around the world
  • Partner with internal teams to ensure policies meet the needs and goals of CIS
  • Collaborate with other departments outside of IT (e.g., Risk Management, Internal Audit, HR, Legal, ) to direct policy and regulatory issues to appropriate channels for investigation and resolution
  • Consult with corporate counsel as needed to resolve legal issues related to regulations and standards
  • Responsibility for the proper completion of the financial statements and footnotes for the quarterly SEC filings (10K and 10Q), as assigned
  • Evaluating internal controls and internal control deficiencies to help strengthen overall control structure
  • Managing the process to update and maintain Corporate Controller Policies(CCPs), including updating certain CCPs
Qualifications for policy & compliance analyst
  • Should be able to present compliance/audit related topics to large group including internal senior management external regulatory/audit authorities
  • Demonstrable experience as business analyst
  • Ability to provide leadership through influence, inspiration, collaboration, and teamwork
  • Well organized, detail oriented and able to manage multiple competing efforts efficiently while working independently
  • Bachelor in economics, business economics or business law or multi-year professional experience in a similar position
  • Practical experience in the market data area, vendors, banks or stock market desirable
4

Policy & Compliance Analyst Job Description

Job Description Example
Our company is looking for a policy & 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 policy & compliance analyst
  • Detailed review of quarterly earnings releases and related supporting documentation
  • Development and presentation of training to the Finance organization on policy updates and new GAAP rules and regulations
  • Draft, revise, and advise on policies and procedures for retail and institutional business ensuring effectiveness, consistency, and adherence to established firm standards
  • Analyze existing procedures to identify gaps, inconsistencies or conflicts and takes appropriate action to resolve
  • Assist in managing vendor updates, monitoring the status of drafts out for review
  • Discuss as needed regulatory developments with Group and Compliance Directors to ensure awareness and help determine whether updates to policies and procedures are required
  • Work independently or with P&P Group, other members of Compliance and/or various members of other departments, to coordinate the drafting, publication, and updating of new or amended policies and procedures as required by regulatory developments or changes in the firm’s business practices
  • Work with several business units and areas of the Firm including Equity and Fixed Income, Information Technology, Operations, Credit, and Accounting on policy and procedure development
  • Communicate policy and procedure updates and regulatory changes to branches and business units as needed by drafting Compliance Bulletins or Alerts
  • Oversee the day-to-day Governance process for the semi-annual refresh and publication of program operating regulations and related documents
Qualifications for policy & compliance analyst
  • Experience with market data administration
  • Experience with leading market data audits
  • Experience in the analysis of contracts or guidelines
  • Interest in financial market topics basic IT knowledge
  • Profound knowledge of MS Office, especially MS Excel and basic knowledge in SQL queries
  • Willingness to further education
5

Policy & Compliance Analyst Job Description

Job Description Example
Our company is looking for a policy & 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 policy & compliance analyst
  • Prepare and refresh the semi-annual publication cycle timeline of key dates and milestones
  • Manage all internal and external communications regarding the publication timeline and required activities
  • Manage the budget and invoice tracking assigned to external vendors and facilitate payments and approvals when needed
  • Serve as first point of contact for receipt of information and queries related to policy and program requirements and ensure appropriate policy owners are engaged
  • Manage calendars and schedule working sessions and governance review sessions in accordance with the timeline
  • Facilitate exchange of materials between policy owners and external vendors
  • Learn the full features and capabilities of the web hosting platform (Amex360) in order to manage access, organize and assign content, and execute communications through the platform
  • Ensure governance approvals are received and properly recorded
  • Assist with the preparation and maintenance of regular reports and dashboards for review and approval by applicable Committees
  • Carry out additional duties and assist with ad hoc projects as required
Qualifications for policy & compliance analyst
  • BA or BS degree in Electrical, Electronic or Computer Engineering, or Computer Science or 11+ years of experience with Cybersecurity
  • The Policy Team is responsible for the Org ID Policy, Customer Due Diligence (CDD) Standards, related Lists, Screening Policy and Monitoring Policy (collectively “the Policy”), equivalent Policy documents for each jurisdictional Utility
  • Policy Team members specialize in certain areas according to expertise, interests and role requirements
  • The Policy Compliance Analyst will report to the Head of Policy Compliance, and in doing so, will assist the Global Head of Policy and Standards, Risk Managed Services (RMS) in the development, maintenance, operational implementation and oversight of the Policy
  • Successful candidates will be ethical, highly motivated, diligent, self-starters, team players and have the gravitas to engage with senior internal and external stakeholders
  • Intellectual interest in legislative and regulatory frameworks

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