Compliance Job Description
Compliance Duties & Responsibilities
To write an effective compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Compliance
List any licenses or certifications required by the position: CAMS, CRCM, CISSP, ISO, FINRA, CPC, CFE, GIAC, GCF, PTCRB
Education for Compliance
Typically a job would require a certain level of education.
Employers hiring for the compliance 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, Finance, Healthcare, Law, Accounting, Health, Business/Administration, Financial Services, Legal
Skills for Compliance
Desired skills for compliance include:
Desired experience for compliance includes:
Compliance Examples
Compliance Job Description
- Assisting with reviews and surveillance activities, including without limitation email surveillance, pursuant to the Department's Compliance Program and annual Rule 206(4)-7 compliance review
- Developing and conducting ad hoc forensic testing pursuant to the Compliance Program, under supervision of a senior compliance officer
- Assisting Senior Compliance Officers with various other compliance initiatives, as needed
- Provide front and back office guidance on compliance and regulatory requirements pertaining to on boarding clients, risk management, position limits, electronic trading, margin compliance, money movements, hedge exemptions, errors and corrections, position transfers, privately-negotiated trades (Blocks and EFRPs), and cleared OTC activity
- Maintain and update compliance information within channel management systems
- Coordinating and responding to regulatory and/or compliance examinations conducted by internal or external parties
- Assisting with a variety of regulatory and client reporting efforts, including monthly reporting to clients regulated by the Investment Company Act of 1940, under supervision of a senior compliance officer
- Assisting with the tracking and maintenance of employee securities licenses and several compliance requirements relating to the adviser's limited purpose broker-dealer
- Work with the Compliance Surveillance Team to enhance the Surveillance Program and improve existing surveillance program
- Serves as a backup for compliance monitoring of timely reviews of potential violations of investment guidelines
- Strong background in conducting compliance work related to regulatory matters
- Provide business and technical expertise in developing/performing data analysis and reporting in an Access, Excel or PowerPoint environment(s), to support standard/ad hoc reporting
- Monitor electronic communications to ensure compliance with company policy, SEC and FINRA rules and regulations
- Ability to travel 35% (mostly regional)
- Bachelor’s degree and/or 8-10 years of Accounts Payable and five+ years of management experience
- Experience with accounts payable processes within a large ERP A/P system (SAP preferred)
Compliance Job Description
- Provide regulatory/compliance training as needed
- Assist the Compliance Department in the monitoring of internal reports sourced from internal Anti-Money Laundering System
- Assist Management and Compliance Managers with any new assignment, project, or initiative
- Under the direction of senior compliance personnel, provide advice and guidance to the firm’s Asset Management division relating to its direct / real assets (timber, agriculture, infrastructure, oil and gas properties ) and real estate investment programs
- Conduct monitoring and oversight of the investments, including compliance certifications and attestations
- Assist in the completion of various regulatory disclosure documents under the supervision of the senior compliance officers
- Scan copies of all OBA and PI forms, related supporting documentation and Compliance approval/rejection email and save to shared drive
- Draft Compliance approval / rejection e-mails
- Acquired programmes for tru TV and TCM channels
- Product Placements
- Advanced Excel spreadsheet capabilities
- Assist with the tracking of regulatory and legal developments having an impact across Canadian Banking business lines
- 3 - 5 years industry experience and/or 1 - 3 years progressive asset management compliance experience
- Promotions/Trailers
- Advising throughout the production process on pre and post broadcasting issues
- Advising the On-air department on promotions
Compliance Job Description
- Oversee, review and approve completed compliance analysis conducted by direct reports for reviews of prospectuses and other investment management agreements
- Coordinate and conduct on-going IA testing as related to portfolio compliance
- Review for HR and Compliance issues
- Understand current state of reporting for respective internal customer
- Rationalize the current state of reporting
- Contribute to the development and delivery of compliance education and training
- Report directly to and frequently communicates with the COO and other key executives to ensure all compliance needs are being met
- Work closely with the firm's Compliance consultants to ensure all regulatory requirements are being adhered to
- Interface with Legal counsel on various compliance areas
- Identify local regulatory requirements and perform compliance review
- Experience implementing compliance policies and procedures
- Ofcom
- BBFC
- Minimum of 2 years’ professional experience in matters related to compliance with the Advisers Act
- Previous compliance experience in a finacial organisation
- Knowledge and experience in commercial, banking, consumer and administrative law and corporate law of China are preferred
Compliance Job Description
- Review and approve investment adviser and broker dealer communications and marketing materials for compliance with applicable regulatory requirements and internal compliance policies
- Develop and monitor compliance reporting program and identify opportunities to continuously improve the program
- Assist with investigations into issues raised through compliance monitoring and reporting
- Coordinate corrective action plans to ensure compliance with Company policies
- Edit and reversion according to Discovery tech specs, edit instructions and style guides using Avid Media Composer
- Engage with the Reversioning, Promo teams to maintain the look and feel of the Discovery channels
- Able to thoroughly carry out metadata entry tasks
- Prioritize and deal with certain queries as quickly and efficiently as possible
- Log any technical or operational errors they experience on their shift
- You may be required to work shifts (days, nights and weekends shifts)
- Ability to contribute productively, working independently and on a team
- Advanced knowledge of Avid Media composer is a must
- Ability to diagnose and repair erroneous content
- Basic level of After Effects is required
- Symphony is a distinct advantage
- Minimum of 3 - 5 plus years’ experience with, or exposure to, business functions such as compliance, audit, legal or regulatory affairs
Compliance Job Description
- Act as person in charge for each business unit to have the latest update to maintain and preserve the accuracy of Compliance Database so that the Compliance Database will always indicate the latest fact
- To provide trainings to all employees in order to enhance the awareness of the employees upon the implementation of compliance matters upon the applicable laws in Indonesia and any internal company policies
- Develop, plan and perform compliance testing and inspections of materials, process and/or products that independently evaluate the adequacy, comprehensiveness and effectiveness of AML, privacy, record management, training and compliance monitoring and testing functions
- Testing potential guideline rules and proposed enhancements to the proprietary compliance restriction system to ensure accuracy before implementation
- Assisting Client Service and Client Accounting departments by helping resolve and communicate to clients regarding any compliance-related issues
- Performing daily compliance exceptions monitoring by analyzing and validating exceptions
- Preparing customized monthly, quarterly client and mutual fund compliance reports
- To communicate the company’s compliance related policy and regulatory requirements to all of the companies including all of the employees
- Act as contact point with governmental institutions in relation with compliance matters
- To provide necessary information for compliance matters in relation with the government for general provisions
- 3+ years Compliance experience with a Registered Investment Advisor or Broker Dealer
- Advanced knowledge of consumer privacy regulations
- Research ability and interest in the political aspects of broadcast regulation
- Must be computer savvy (MS Office Suite)
- Working with in-house counsel to monitor and implement responses to regulatory actions that impact the funds
- Fluent in both English and Chinese is a must