Risk & Compliance Job Description

Risk & Compliance Job Description

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Risk & compliance provides guidance on various topics related to current audit standards and regulations, industry trends, and best practices.

Risk & Compliance Duties & Responsibilities

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

Sample responsibilities for this position include:

Use data, Tableau reports, administrative consoles and in-house tools to conduct most of your job functions
Partner with software engineers, product managers and 3rd party service providers to develop tools and processes to automate data transfers and audit reports
Prepare and present reports for senior management on key business operations on a weekly basis
Facilitate risk identification with specialist teams
Develop stress testing scenarios, scenarios enrichment, and provision of related guidance to risk
Develop deliverables based on assessment/analysis
Facilitate the review and challenge at the forecasting unit and aggregate level with analytical support from the MI Planning team
Lead and execute GRC business objectives
Centrally maintain and manage all local and global policies that pertain to IT compliance
Manage policy exception process

Risk & Compliance Qualifications

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

Licensing or Certifications for Risk & Compliance

List any licenses or certifications required by the position: CISA, CISSP, CISM, CIPP, ISO, CRISC, PMP, ISACA, CIA, CDPSE

Education for Risk & Compliance

Typically a job would require a certain level of education.

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

Skills for Risk & Compliance

Desired skills for risk & compliance include:

Audit tools and audit related software
COSO 2013 integrated controls framework
Control summaries
Reports
Work programs
Experience with various industry standards / regulations / best practices
Insurance regulations
Key banking
Bank
Consumer lending organizations

Desired experience for risk & compliance includes:

Ability to communicate complex industry regulations to all levels
Can interact with business partners and team members in a multi-site environment
Strong time management skills and ability to handle multiple tasks and assess priorities
Attention to detail and accuracy of work, particularly communications
Excellent cultural awareness and ability to work with staff and colleagues at all levels of the organization and in a variety of countries and time zones
Serve as advisor to project teams on IT Risk & Compliance matters, including requirements

Risk & Compliance Examples

1

Risk & Compliance Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of risk & 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 risk & compliance
  • This is a role that requires a self-motivated person with the knowledge and experience in extracting system reports, performing 6
  • Performs RPS compliance reviews as assigned and prepares formal reports, as applicable, while meeting deadlines assigned
  • Provide timely status, metrics and reports
  • Provide support to the Risk & Compliance Manager and Senior Advisers to assist management with the development and maintenance of their Risk Registers (BU top down and departmental bottom up)
  • Manage the corporate risk and control assessment reporting process manage and maintain infrastructure elements (e.g., risk management reporting, including reporting to senior management)
  • Make recommendations on complex risk issues or products, deal structures, policy creation
  • Assists in completion of company wide risk assessment and development of annual audit plan
  • Track Independent Risk Assessment group deliverables against target dates
  • Development of issue reporting for Senior Operating Committees
  • Work closely with Independent Risk Assessment teams and business line issue owners and business line risk QA functions to determine issue status
Qualifications for risk & compliance
  • Candidate must possess or currently pursuing a Bachelor's Degree or equivalent
  • Applicants must be willing to work in Cyberjaya office
  • 7+ years of compliance/compliance audit experience
  • 3+ years of compliance risk assessment and/or compliance testing
  • Legal training
  • Knowledge of Government, Financial, and/or Healthcare industries and associated regulations
2

Risk & Compliance Job Description

Job Description Example
Our company is growing rapidly and is looking for a risk & compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for risk & compliance
  • Creates highly complex reports and may present information to internal and external entities
  • Design, implement and execute the end to end process for the Global Enterprise-Wide Compliance Risk Assessment (“CRA”)
  • Monitor and communicate material regulatory changes
  • Develop, communicate and maintain high quality Global Policies and Global Standards
  • Effectively manage the related dispensations, waivers and breaches process
  • Designing and supporting the implementation of ‘intelligence based’ tools, products and services
  • Initiating and sustaining constructive relationships with key compliance stakeholders
  • Provide support for all governance processes related to frameworks responsibilities
  • Review of end of end processes, identifying areas for continuous improvement and ensure sufficient control and risk mitigation is in place
  • Development and contribution to management information
Qualifications for risk & compliance
  • Strong project management skills with ability to lead teams
  • In-depth knowledge of COSO Internal Control Framework
  • Ability to review and recommend potential enhancements to accounting policies and procedures
  • Financial institution experience required
  • Bachelor degree from four-year college or university in an Aviation related field
  • Three years of experience, within the last six years, as a pilot-in command in a Part 135 or 121 operation
3

Risk & Compliance Job Description

Job Description Example
Our growing company is looking to fill the role of risk & 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 risk & compliance
  • Ensure the coordination of the review/creation of CFT/GBS policies and procedures
  • The job holder will work under the supervision of more senior members of the team but is expected to have autonomy on certain tasks
  • As part of the delivery of the CFT/GBS Policy Roadmap, a weekly meeting with team members and the team manager is organised to follow progress and escalate issues
  • The job holder is responsible for scheduling and attending regular meetings with other stakeholders of the CFT/GBS Policy Roadmap
  • Actively manage and monitor events/incidents (includes - root cause analysis, action plan/rectification, preparing breach letters for regulators etc)
  • Work with group compliance and Line 2 (ERM) teams to ensure that all relevant regulatory obligations (SIS Act, Corps Act etc) that SRI needs to comply with have been identified and that correct controls have been aligned to each obligation
  • Attend and participate in working/steering groups relating to regulatory changes impacting the business
  • Document (process map) and review key processes within SRI business
  • Risk Profiling
  • Selects and manages project teams or business sub-teams
Qualifications for risk & compliance
  • Certified Public Accountant or Certified Internal Auditor highly desired
  • Advanced ability to manage multiple priorities given aggressive timelines
  • Minimum of one year Audit experience or other relevant experience
  • Certificate in safety management
  • A Bachelor’s degree in Accounting, Finance, Economics, Criminal Justice, Math, or Information Systems
  • Industry experience with key compliance topics is a plus, , knowing your customer
4

Risk & Compliance Job Description

Job Description Example
Our company is hiring for a risk & 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 risk & compliance
  • Ensuring staff and managers understand their responsibilities and accountabilities, and have appropriate training in relation to HSE and associated regulatory and compliance requirements
  • A relevant Degree or higher in HSE and/or a relevant scientific discipline, and/or equivalent relevant experience, such as in risk regulatory management
  • A current and valid driver's licence and the ability and willingness to travel inter- and intra-state as required
  • Demonstrated experience in understanding and managing the regulatory environment in a research organisation
  • Demonstrated experience in risk management in a complex environment
  • Demonstrated ability to identify and deliver relevant HSE and risk management training and associated materials for staff and managers
  • End to end coordination of Finance Compliance & Controls across the Shared Service processes and in close cooperation with the individual sites serviced by the Shared Service Center
  • Design, in collaboration with stakeholders, an efficient, effective and standard SOX/internal controls framework and implement this across the functional teams in the Shared Service Center in a Lean / Six Sigma culture
  • Ensure internal controls are in place and operating according to the company’s Accounting Policies and SOX requirements
  • Work closely with the SSC Operations teams, Site Controllers and corporate functions in ensuring that the Corporate SOX program is operating effectively
Qualifications for risk & compliance
  • In-Depth knowledge of internal control concepts, principles, risk analysis, Sarbanes-Oxley Compliance, PCI Compliance, HIPAA, Privacy, process improvement and techniques, including COSO and COBIT frameworks
  • Prior work at a regulatory agency or self-regulatory organization preferred
  • ACCA/ AMCT in progress is an advantage
  • 4-5 years working experience within accounting/ treasury
  • Corporate function experience is an advantage
  • Prior experience in banking/ financial institutions is an advantage
5

Risk & Compliance Job Description

Job Description Example
Our company is looking to fill the role of risk & compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for risk & compliance
  • Be responsible for CAA controls IT compliance strategy
  • Lead the software governance standards as applicable within the CAA requirements
  • Proved content and deliver status updates for key stakeholders including AvioAero leaders, Aviation digital tech risk leaders and affected application teams
  • Develop CAA IT controls framework for tracking the progress of in flight initiatives, including status, plans, gaps,and defect
  • Develop a strategy and training to prepare CAA application owners to self assess progress and remediation efforts
  • Work closely with the IT Controllership Leader to ensure that overlapping CAA requirements for any compliance requirement being implemented are harmonized with existing requirements such as Sarbanes Oxley, Critical Business Information, and ISO-27002
  • Responsibility for overall Digital Technology portfolio of products, application, processes and services to be CAA compliant
  • Succinct collaboration with business operations and business compliance teams to ensure a compliant CAA business process architecture
  • Develop and maintain strong relationships with business stakeholders and ensure roles and responsibilities related to risk management and compliance are clearly understood and assigned
  • Oversee compliance activities and their outcome, using a risk-based approach, and make sure that they are conducted in a systematic way across the different areas of the business and core businesses according to Service Agreements
Qualifications for risk & compliance
  • One to seven plus years of experience in security governance, risk, and compliance, or related field required
  • Certified (CISA, CRISC, ) compliance professional is a plus
  • Bachelor’s Degree or equivalent work experience in IT Compliance & Risk Management or related field
  • Coordinate the use of external resources involved in the information security program including, but not limited to, interviewing and managing external resources
  • Bachelor’s degree in business, computer science, information technology or equivalent professional experience
  • Understanding of data management and data aggregation is a plus

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