Risk & Compliance Analyst Job Description

Risk & Compliance Analyst Job Description

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Risk & compliance analyst provides specialist input on relevant business initiatives relating to UKI physical security strategy, business continuity, disaster recovery and emergency planning for major events.

Risk & Compliance Analyst Duties & Responsibilities

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

Sample responsibilities for this position include:

Audit and execute controls for Access Management and Change Management processes
Designs and enhances internal controls such as segregation of duties, production change management, software management, security, incident handling, and transmission integrity
Perform confidential research and analysis of alerted financial transactions generated by more complex monitoring rules in a timely manner
Evaluate fraudulent, suspicious and/or unusual activity for regulatory reporting and/or escalation to management and/or other departments
Gather pertinent evidence by conducting internal/external research, pulling transaction records, and reviewing reports
BA/BS in business, finance, law enforcement, legal studies or a related field
Bachelor’s Degree and 3 years of relevant experience required
In depth knowledge of SEC, FINRA and other SRO rules
Review and monitor information security administration for existing and plan projects and identify security gaps and impacts resulting from system changes and/or modifications
Identify tasks and controls necessary to remediate identified risks and vulnerabilities

Risk & Compliance Analyst Qualifications

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

Licensing or Certifications for Risk & Compliance Analyst

List any licenses or certifications required by the position: CISA, CISSP, CISM, CRISC, CRCM, GSEC, ATO, CIA, ISO, ITIL

Education for Risk & Compliance Analyst

Typically a job would require a certain level of education.

Employers hiring for the risk & 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 Finance, Business, Computer Science, Accounting, Sound, Graduate, Information Systems, Management, Criminal Justice, Education

Skills for Risk & Compliance Analyst

Desired skills for risk & compliance analyst include:

IT organization patterns
Business continuity
CMMC
Trends and technologies
Application development
COSO
Change management
Disaster recovery and physical and logical security
Governance
Networking and telecommunications

Desired experience for risk & compliance analyst includes:

Act as the lead for regulatory administrative activities such as Central Bank of Ireland Online Reporting, Fund tax reporting and the Fund Registration database
Assist in the calculation, review, and analysis of risk exposures and investment returns for the production of risk management reporting
Series 7 required for this role
CISA – Certified Information Systems Auditor (or equivalent required)
CISSP – Certified Information Systems Security Professional (not required, but a plus)
Strong l skills (MS Powerpoint, Word, Excel, SharePoint, Project, Visio )

Risk & Compliance Analyst Examples

1

Risk & Compliance Analyst Job Description

Job Description Example
Our growing company is hiring for a risk & 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 risk & compliance analyst
  • Maintain IS controls and policies to assurance compliance with applicable regulatory and legal requirements good business practices
  • Monitor accounts and orders for suspicious activities & patterns
  • Analyze latest fraud trends and develop recommendations to prevent fraud and protect consumers and partners from fraudulent attacks
  • Act as the primary interface for Customer Service to analyze/resolve security related issues such as account access, customer fraud claims and chargebacks
  • Oversee and review 3rd party Knowledge Based Authentication systems to optimize identity verification process during checkout
  • Review and execute controls to ensure there are no gaps in meeting member benefits and obligations
  • Monitor and escalate open findings until satisfactorily resolved
  • Act as a liaison with internal and external compliance teams
  • Keep detailed records of and maintain documentation
  • Create Decks for upper Management reporting
Qualifications for risk & compliance analyst
  • Follow-up and bring to resolution any identified weaknesses in the above
  • Assist with the completion of the Compliance Monitoring Programme
  • Review reports from all delegates, including investment managers, administration and trustee / depositary reports to ensure they are in line with the policies of the management company
  • Help identify and report as necessary on any breaches / errors
  • Contribute to the production of quarterly reports to the Board and its subcommittees
  • Assist with the provision of the MLRO function to the Management Companies and funds
2

Risk & Compliance Analyst Job Description

Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of risk & compliance analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for risk & compliance analyst
  • Reviews, documents, evaluates, and tests manual and automated computer controls throughout the corporate IT environment
  • Effectively manages and monitors key compliance and service delivery processes including change and problem management
  • Streamline the process to reduce the burden on application teams (from audit, and other requests)
  • Work to ensure compliance and risk is managed
  • Review findings and create risk assessments
  • Manage audits and external requests to ensure they are actioned accordingly
  • Internal audit and risk reviews
  • Manages the PCI compliance program for the organization
  • Tracks and coordinates corporate, legal and regulatory IT compliance activities
  • Collaborates with Internal Audit, Corporate Compliance, Office of General Counsel and Enterprise Risk Management to remediate new and outstanding issues
Qualifications for risk & compliance analyst
  • ITIL, or ISO Training (preferred)
  • Ability to gain knowledge and proficiency with DHS required tools used by all Components
  • Proficiency in the Microsoft Office Suite of tools to include extreme competency in Excel
  • More than five years of experience in an applicable data based, risk management environment
  • Ability to develop statistical models designed to analyze and/or forecast
  • General banking/financial services experience preferred
3

Risk & Compliance Analyst Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of risk & compliance analyst. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for risk & compliance analyst
  • Review large hardware contracts (100+ pages)
  • Assist in the creation of aggregated and on-going reporting of risk metrics dashboard
  • Help to define through analysis supply & operations planning lookbacks of total spend, slow moving inventory, stock-outs and opportunities for long term buys / cross - product strategic partnerships
  • Help to define reporting requirements to influence business on pricing decisions
  • Influence finance, legal and operations stakeholders to close gaps in control frameworks and develop scalable solutions
  • Maintain the company’s inventory of business processes, 3rd party vendors and corporate assets, including facilities, IT systems, websites, domains, mobile apps, social media accounts
  • Trusted Line 1 Risk Partner to the SRI business
  • Actively work with the business to improve risk culture / awareness and overall risk and control environment
  • Risk profiling Identify and assess key risks (operational, compliance, regulatory, strategic ) within SRI
  • Identify control gaps / weaknesses and formulate action plans to address
Qualifications for risk & compliance analyst
  • Assist in performing initial and on-going due diligence on each of the delegates
  • CISSP, CRISC, CISA, strongly desired
  • Oriented and a Self-starter and quick learner
  • 4 to 6 years of experience in IT Information Security Risk & Compliance
  • 2 to 4 years of experience with network, infrastructure and application security
  • Strong technical knowledge of applicable regulatory requirements including Sarbanes-Oxley (SOX), General Data Protection Regulation (GDPR) and Payment Card Industry Data Security Standard (PCI-DSS), with working knowledge of ISO framework
4

Risk & Compliance Analyst Job Description

Job Description Example
Our growing company is looking to fill the role of risk & 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 risk & compliance analyst
  • Preform compliance monitoring reviews as assigned
  • Build and maintain relationships with business partners, managers, and staff members
  • Lead and coordinate preparation of service delivery for certification programs across contracts, such as SSAE16_ISAE3402 audit
  • Support service delivery in preparation for client or industry specific certification and compliance programs, such as SOX, HIPAA, MHRA, URAC, PCI
  • Lead implementation and maintenance of risk self-assessment programs across service delivery, such as service delivery representation letter and contract compliance
  • Monitor and provide assurance that the identified findings and actions are tracked to closure and report to leadership thereon
  • Support Information Security Organization with Information Security Management System (ISMS) maintenance, including documentation maintenance, information security awareness, and internal audits
  • Support translating regulatory legal advice into IT operations and ensuring compliance with guidance
  • Assist Vice President of IT Compliance for regulatory, internal and external audits
  • Track, coordinate, and provide regular status on remediation of audit and management self-identified findings
Qualifications for risk & compliance analyst
  • PCIP, CISSP or past ISA Certifications preferred
  • Hands on experience with various security products
  • PCI Certified Internal Security Assessor (ISA) preferred
  • Requires excellent analytical and communications skills to learn customer business objectives, evaluate risks and plan, supervise and control compliance and other activities
  • Must have excellent verbal, written and presentation skills, a high degree of personal integrity and ability to work under limited supervision
  • Must be capable of working under minimum supervision, planning and conducting compliance assignments and directing the activities of staff as required
5

Risk & Compliance Analyst Job Description

Job Description Example
Our innovative and growing company is looking for a risk & 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 risk & compliance analyst
  • Audits business unit security activities to ensure compliance with all corporate information security policies and procedures
  • Establishes and executes program updates as necessary to adapt to the changing terrorist threat local, state, and federal security requirements
  • Provide compliance support
  • Coordinate compliance processes and procedures
  • Prepare, maintain and update internal databases and reports
  • Assist with regulatory exams
  • Research regulatory requirements
  • Assist in the development of internal policies and procedures
  • Prepare various reports and other compliance documentation
  • Investigate, analyze and document all areas of possible regulatory concern
Qualifications for risk & compliance analyst
  • Assist in collection of IT Security controls metrics
  • Five or more years of progressive experience with the design and testing of IT security controls
  • Background in IT and Security control testing
  • History of supporting external audits
  • Understanding of Cloud-based services, Windows and Linux operating systems, and open-source databases
  • Experience with Windows Server Desktop

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