Senior Compliance Analyst Job Description
Senior compliance analyst
provides for effective compliance policies, procedures, training and surveillance for compliance with current applicable rules, regulations, securities laws, AML regulations and SRO rules.
Senior Compliance Analyst Duties & Responsibilities
To write an effective senior compliance analyst job description, begin by listing detailed duties, responsibilities and expectations. We have included senior compliance analyst job description templates that you can modify and use.
Sample responsibilities for this position include:
Research compliance issues and compiles statistics
Review, analyze and respond to employee requests for personal trades that cannot be pre-cleared automatically in PTA
Review employee brokerage accounts for appropriateness and potential conflicts of interest
Review investments in private placements
Maintain accurate employee records in PTA, addition and deletion of users and applicable brokerage accounts
Coordinate Quarterly and Annual employee attestations
Review and maintain restricted securities for personal trading
Assist with conducting new hire and annual training of employees for Code of Ethics, Insider Trading and Personal Trading
Assist with firm level Regulatory Filings
Analyze holdings reports in preparation for regulatory filings
Senior Compliance Analyst Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Senior Compliance Analyst
List any licenses or certifications required by the position: CISA, CPA, CIA, CISM, CRISC, CISSP, CIPP, AEO, PMI, PMP
Education for Senior Compliance Analyst
Typically a job would require a certain level of education.
Employers hiring for the senior 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 Business, Finance, Education, Legal, Accounting, MBA, Law, Business/Administration, Project Management, Computer Science
Skills for Senior Compliance Analyst
Desired skills for senior compliance analyst include:
Regulations
Laws
Regulations in area of compliance
State regulations
Rules
Securities laws
Applicable FINRA licensing
Statistics
Ability to use standard industry programs and websites
Insurance principles procedures and best practices
Desired experience for senior compliance analyst includes:
Maintain supporting logs and records related to 13f and 13g filings
Assist in monitoring of foreign securities holdings for potential filings in non-US jurisdictions
Assist in reviewing automated reports for Anti-money Laundering
Carry out testing and monitoring of various business and compliance controls
Review exceptions identified in firm trading system and reports on personal security transaction, gift and entertainment, staff political contributions, conflict of interest and other matters, review using internal and external information resources and resolve or escalate issues by documenting results in memos detailing the review and findings
View and reconcile records relating to research commissions generated by the firm under soft dollar and commission sharing arrangements
Senior Compliance Analyst Examples
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Senior Compliance Analyst Job Description
Job Description Example
Our company is looking to fill the role of senior 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 senior compliance analyst
- Recommends improvements to operating policies, procedures and formats for the compliance review
- Identifies physician specific educational needs relative to professional coding, documentation, and reimbursement practices
- Completes and coordinates data gathering and communicates review results to the director in a timely manner and in accordance with approved format
- Analyzes physician documentation for completion
- Responds to billing and coding questions and maintains tracking system for responses
- Consults with billing personnel
- Coordinates meetings via telephone
- Coordinate compliance for remediation of identified vulnerabilities and analysis on all application and network assets
- Perform assessments to determine unified control matrix, prioritization and non-compliance risks
- Act as a senior member of compliance initiatives
Qualifications for senior compliance analyst
- Minimum of 2-3 years of experience of audit and commercial experience
- Produce regular reporting supporting continuous improvement of controls
- Knowledge of risk assessments, control analysis, auditing techniques, business continuity frameworks, information systems and networking technologies and information security standards and guidelines such as COBIT or ISO/IEC 27000
- Excellent written and oral communication and project management skills
- Excellent negotiation, organizational, auditing, problem solving and decision-making skills
- Ability to lead and influence peers and management on issues regarding controls, risk management and quality compliance
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Senior Compliance Analyst Job Description
Job Description Example
Our innovative and growing company is looking for a senior compliance analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for senior compliance analyst
- Be responsible for concise written and/or verbal communication with external and internal partners and WUBS clients
- Work cross-functionally with many areas within the compliance organization
- Keep abreast of regulatory changes and news
- Lead special projects and present to senior management as required
- Provide training and guidance to staff within the department
- Define instructional objectives, modularize course content, and develop materials to meet instructional design requirements
- Manage the integration of external training instructors for Instructor Led Courses which includes completing Statement of Work, budget and scheduling of services
- Manage the Global EHS Management and Technical Standards implementation and revision process
- Participate on Zero
- Oversee KPI monitoring and tracking for EHS training and injury/illness metrics
Qualifications for senior compliance analyst
- Ability to collaborate with senior stakeholders and work in partnership with other compliance officers and legal department
- Ability to readily recognize and evaluate the impact of current or potential compliance issues
- Professional attitude and adherence to a high ethical standard
- Minimum of 5 years of experience in data analytics and/or internal control monitoring/testing is required
- Experience in compliance, audit, IT, or information governance at a health care or life sciences organization is preferred
- Proficiency with data analysis and visualization tools
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Senior Compliance Analyst Job Description
Job Description Example
Our growing company is searching for experienced candidates for the position of senior 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 senior compliance analyst
- Assist in the planning, tracking and monitoring of the SOX compliance process, including developing the annual SOX plan, monitoring remediation and assisting control owners in resolving issues
- Providing status updates to management, and prepares agendas and meeting materials
- Participates in the management and maintenance of the SOX portal, including providing user training, initiating self-assessments and evaluating results
- Assist and sometimes lead the Compliance team
- Participate in general compliance activities, including those related to legal and regulatory compliance
- Maintains up-to-date rating manuals for assigned states, coordinating and ensuring completion of any changes needed
- Independently researches and consults on state-specific filing strategy, coordinates responses for countrywide research initiatives, and represents State Filings team on countrywide projects
- Serves as a team member on medium-term or moderately-complex projects and occasionally leads own work streams
- Prepares and delivers presentations to senior management
- Create summaries of the legislation and identify a course of action for the various departments affected with changes in legislation as it relates to products and product filings
Qualifications for senior compliance analyst
- Ability to guide and advise business on KYC issues
- Minimum five (5) years of mortgage banking experience (originations or servicing operations) required
- BS Degree plus 8 years of related experience
- Hands on knowledge and experience with Deltek Cost Point and/or SAP accounting systems
- Perform and supervise audits of IT systems and related processes driving Sarbanes-Oxley (SOX) compliance and PCI-DSS compliance
- Perform the management testing for the IT general controls related to selected global data centers
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Senior Compliance Analyst Job Description
Job Description Example
Our company is growing rapidly and is hiring for a senior 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 senior compliance analyst
- Assists with miscellaneous projects and deliverables as needed
- Analyze data identifying pattern and trends instituting suggestions for correction of any errors encountered
- May conduct Compliance training for various functional groups
- Assist with the day-to-day guidance of junior compliance staff
- Manage departmental compliance projects as assigned, such as annual compliance testing
- Provide pre- & post- trade compliance support to Portfolio Management and Trading staff
- Extract and review investment guideline coding from prospectuses, SAI's, investment management agreements, and other contractual constituent documents
- Administer administration of the order management system, including rule creation, testing, and production enhancements
- Review post-trade exceptions and escalate to front office staff and Compliance Officers when necessary
- Design, refine and execute internal controls and corporate compliance procedures
Qualifications for senior compliance analyst
- Experience reading, interpreting, tracking and administrating regulatory requirements is required
- Ability to define, extract, and analyze large amounts of data based on a fundamental understanding of processes, controls and risk
- Innovative problem-solving and critical thinking skills
- Strong background in analysis of business processes, internal controls, and compliance
- Knowledge of audit standards and practices
- Ability to interact effectively with various levels of management in business units
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Senior Compliance Analyst Job Description
Job Description Example
Our growing company is looking to fill the role of senior compliance analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for senior compliance analyst
- Monitors compliance with local, state and federal regulations
- Maintains all rules contained in the Agency Profile system including updating meta data
- Research, summarize and communicate Department of Labor regulations including the periodic reporting and auditing of customer data to ensure compliance
- Review daily trade exception reports of employees’ violations of the various policies
- Review employee trade confirmations and account statements that are used in the monitoring and surveillance process
- Perform maintenance on APs brokerage accounts reported in the Protegent PTA System
- Creation of quarterly metrics and board reports summaries of Ethics Office-related duties such as Gifts and Entertainment, Personal Trading
- Field questions from employees to clarify Ethics Office requirements related to personal trading, gifts and entertainment administration
- Prepare written violation notices to employees as needed
- Contribute to the development and implementation of new/updated personal trading policies
Qualifications for senior compliance analyst
- Must maintain the highest level of integrity, ethics, and objectivity
- Understanding of computerized information systems
- Public accounting experience with top tier firm
- Understanding of COSO, risk assessment practices, technical aspects of accounting and financial reporting
- Ability to work independently with limited guidance and to work effectively as part of a team on multiple projects
- Knowledge and understanding of auditing techniques and project management