Team Lead, Compliance Team Job Description

Team Lead, Compliance Team Job Description

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Team lead, compliance team provides compliance monitoring reports for the Wealth Management Business Line to ensure compliance with federal/state regulations and laws and internal policies and procedures.

Team Lead, Compliance Team Duties & Responsibilities

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

Sample responsibilities for this position include:

Advise SMEs, SMLs and BU Compliance/Risk professional with respect to the appropriateness of BU-specific policies and procedures necessary to comply with Global Policies or BU-specific laws and regulations
To participle in ad-hoc projects, tool development projects in the drafting of procedures when in relation to the account review process
Participate in the development of production and quality goals ensure the team meets them within their channel or department
Assist in the construction and roll-out of a robust policy governance process for the creation, update, and maintenance of Corporate Policies
Analyze laws and regulations in consultation with Subject Matter Experts (SMEs) and Subject Matter Liaisons (SMLs) and assist in the drafting of appropriate policies to comply
Completion of compliance testing (ADP, ACP, 415, 416)
Responsibilities may include planning, assigning, and directing work
Supervise with respect to reviewing written materials for potential conflicts of interest, compliance with rules, regulations and firm policies and procedures, cross-border restrictions, copyright and data licensing issues and other regulatory or reputational risks to the firm, and conduct such reviews
Partnering with the business and compliance specialists to ensure that appropriate reporting mechanisms are in place to monitor compliance with fair lending laws within each of
Promote a harmonious and productive work environment, encourage teamwork and promote employee development and growth

Team Lead, Compliance Team Qualifications

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

Licensing or Certifications for Team Lead, Compliance Team

List any licenses or certifications required by the position: ACAMS, CFCS, CAMS, CFE, CPA, CISA, CISSP, CISI, IEC, ISO

Education for Team Lead, Compliance Team

Typically a job would require a certain level of education.

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

Skills for Team Lead, Compliance Team

Desired skills for team lead, compliance team include:

Excel
Running reports and interpreting and communicating data/metrics
Warehouse control systems
Warehouse management systems
Compliance analysis and reporting
AML
AML regulatory policies with the ability to apply and explain regulatory concepts
BSA
Superseded version
Implementation and execution of policies and projects at an organizational level

Desired experience for team lead, compliance team includes:

Perform data analysis to obtain details on data issue (source data coming in, characteristics of problem, repeat issue, ) prior to engaging LOB owners
Responsible for conducting the team’s annual performance reviews addressing under performance issues
Bachelor’s degree required and experience in KYC/Due Diligence
Build and manage a team of 8-10 Investigators
Review the work of analysts to ensure alerts meet quality standards and data was accurately collected and documented, including alert, investigation, or Suspicious Activity Report history
Design and develop efficient (ETL) processes

Team Lead, Compliance Team Examples

1

Team Lead, Compliance Team Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of team lead, compliance team. 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 team lead, compliance team
  • Assisting in planning, developing, coordinating, scheduling, managing, executing, and closing-out scheduled, assigned, and ad hoc cyber security projects
  • Assess needed staff development programs involving award acceptance, including specific areas such as publication restrictions, indemnification, payment types, rules of “agency”, and other background areas to enhance staff performance
  • Provide input and recommendations to OSP leadership on needed development of expertise in OSP or formation of structures, organization or workflow to handle related agreements
  • Perform critical inspection and repair analysis for due diligence reports by measuring the completeness and accuracy of the information that is flowing back to the business when evaluating the risk of a client
  • Include a complete documentation of the research conducted
  • Analyze and keep current, all international data transfer agreements in place between US and affiliates in European Economic Area
  • Evaluate adequacy of Privacy Language in Vendor Agreements
  • Assist in the creation, maintenance and update of a Conduct Risk framework
  • Provide project management support to facilitate technical enhancements to existing compliance applications, assist in the creation of work-flows required to deploy new Compliance applications or GRC modules
  • Assist in the update and maintain certain elements of the Compliance Sharepoint sites
Qualifications for team lead, compliance team
  • Familiarity with US Banking regulations, consumer regulations, Community Reinvestment Act, Fair Lending
  • 5+ years of experience in KYC/Due Diligence
  • In depth knowledge of key anti-corruption and anti-bribery legislation in multiple jurisdictions, and their cross-border effect, related regulatory expectations
  • 5+ years of related banking and policy experience developing/implementing regulatory related policy frameworks in the bank or financial services industry
  • Professional designation or graduate degree, such as MBA, Chartered Financial Analyst (CFA), or accounting designation, or equivalent industry experience
  • Experience with processes and controls related to procurement, supply chain, accounts payable/receivable
2

Team Lead, Compliance Team Job Description

Job Description Example
Our company is looking for a team lead, compliance team. 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 team lead, compliance team
  • Enhance and oversee the Records Management Framework
  • Performs other duties as appropriate or assigned
  • Evaluate root causes of problems and identifies options for improvement
  • Supervise a team of Contracts Specialists and apply project management principles to ensure the timely execution of contracting activities for the company’s corporate end user departments (including, but not limited to HR, IT, Property Leases, Training)
  • Identify, facilitate and lead continuous improvement projects within the Supply Chain function, develop strategies and execute activities to implement those improvements with appropriate Stakeholder engagement
  • Collaborate with stakeholders to determine long term contracting strategies
  • Manage long term contracting plan and liaise with stakeholders to incorporate into the 2-year Operations integrated plan
  • Ensure C&P Department compliance with local, corporate, Joint Venture and regulatory requirements and procedures and ensure reporting timelines are met
  • Assist the Local Content Team with regulatory reporting
  • Assess the regulatory requirements for Bayu-Undan C&P activities, and determine possible areas for improvement of processes
Qualifications for team lead, compliance team
  • Anti-corruption and anti-bribery risk issues, including familiarity with the corruption/bribery risk associated with various CSAs/LOBs and their application to the business and strategies of the Enterprise
  • Strong ability to plan and organise own workload and those of others utilising proven project management skills as evidenced by track record of delivering results on time and to a high degree of accuracy
  • Ability to clearly report on results and recommendations, including reporting to the regulators, the Board and others as required
  • Bachelor's degree or equivelenat work experience
  • Multinational experience ideally
  • Minimum of 6-10 years of tax compliance and income tax accounting experience in a major enterprise with focus on the energy industry
3

Team Lead, Compliance Team Job Description

Job Description Example
Our growing company is looking for a team lead, compliance team. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for team lead, compliance team
  • Manage and continually improve the Compliance Risk Assessment for fiduciary
  • Embracing the mindset of being a change agent, provide technical expertise on systems solution architecture, application development and automated testing
  • Maintain a deep involvement with application development and implementation processes, including acting as the LCF representative with the Big Data and other Guilds and areas within in Information Management
  • Identify, develop and implement cost saving and improvement initiatives within the scope of services delivered to ensure maximum value and return on assets
  • Maintain C&P Procedures and documentation, streamline / update to ensure fit for purpose
  • Develop expertise in the contracts management system gCMS to become the gCMS Coordinator for ABU-W
  • Focal Point for internal and external Supply Chain audits
  • Cyber security policies shall be documented and communicated to appropriate personnel throughout the enterprise subscriber organizations
  • Provide support and regular updates to the direct reporting lines (Head of KYC of WM Compliance, Singapore) on the tasks undertaken by the WM Compliance Account Review Team
  • Ensure files (high risk accounts, commercial/corporate accounts and PEPs etc) that require Head Office validation/approval are closely follow-up by the Team
Qualifications for team lead, compliance team
  • Proficient in English, plus another European language
  • Proactive and action-oriented attitude in driving projects and preventative measures
  • Ability to represent the Quality Site Head in meetings or for decisions as required
  • Seasoned professional with experience in senior risk compliance systems management roles or other related experience such as risk management, audit, examination, or similar control-related experience
  • Good working knowledge of Sanctions client screening systems such as WLM (SCDM), Oracle OWS
  • Good understanding of other areas, Finance, Credit, ALM
4

Team Lead, Compliance Team Job Description

Job Description Example
Our company is searching for experienced candidates for the position of team lead, compliance team. 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 team lead, compliance team
  • The Team Lead Compliance has responsibility for ensuring that all policies and claims are issued and processed properly and that all reporting is completed in accordance with established processes and guidelines
  • Design and Implement frameworks for controlled operations across locations and ensure global compliance
  • Hire terminate and manage performance appraisals for team and pulling in additional resources when needed specialist teams or people for specific issues opportunities
  • Communication of sponsor and regulatory requirements to department representatives during proposal review
  • Interpretation of University policies as they relate to proposed work
  • Expertise in sponsor electronic systems including effective troubleshooting of issues or problems with systems
  • Prepare and present materials to various audiences of proposal requirements
  • Provide policy guidance during pre-proposal collaboration with department unit when submission to a complex program is anticipated
  • Manage team workload distribution in Manager’s absence
  • Communication of federal grant management requirements and non-fiscal compliance requirements to faculty investigator and department representatives
Qualifications for team lead, compliance team
  • 5 plus years of regulatory compliance experience
  • Bachelor’s degree or equivalent professional qualification (procurement, technical, business and/or legal)
  • Significant experience in a contracts role in a large organisation with direct experience of negotiating high value contracts and key contract clauses
  • Extensive business knowledge, preferably with some cross functional experience gained outside the Supply Chain organisation
  • Experience with complex approvals and compliance regimes
  • Experience developing and implementing initiatives and influencing decisions at a strategic level
5

Team Lead, Compliance Team Job Description

Job Description Example
Our company is looking for a team lead, compliance team. 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 team lead, compliance team
  • Lead business process walkthroughs
  • Be the facilitator for the control certification process
  • Participate in key initiatives and projects related to process and/or system design that impact financial reporting, and
  • Review and acceptance of grant/contract awards or federal flow through award (non-FDP) from various sponsors
  • Communication regularly with sponsor representative to gather information, reconcile budget and program issues pertaining to specific grant and contract and serve as a liaison for the University with the sponsor representative
  • Prepare and present policies and best management practices for an OSP and non-OSP audience
  • Prepare and present materials on award terms and conditions, risk assessment, roles and responsibilities and other contractual areas, for an OSP, faculty, or other central office audience
  • Serve as an in-house expert in award terms & conditions
  • Manage incoming award workload distribution in Manager’s absence
  • Serve as a peer mentor in OSP
Qualifications for team lead, compliance team
  • Ability to engage and collaborate with stakeholders and cross functional groups at all levels in the organisation
  • Previous oil and gas industry experience not essential
  • Bachelors degree in accounting or finance or any equivalent degree
  • Fluency in English and Thai/Vietnamese speaking preferred
  • Bachelor’s degree in information systems, computer science, accounting or a business-related field
  • Four or more years of experience performing IT control assessments or related IT compliance experience

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