Compliance Executive Job Description
Compliance Executive Duties & Responsibilities
To write an effective compliance executive job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance executive job description templates that you can modify and use.
Sample responsibilities for this position include:
Compliance Executive Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Compliance Executive
List any licenses or certifications required by the position: TDS, CISSP, ISO, CISA, PMP, CRCM, CIA, CPA, CHC, ACAMS
Education for Compliance Executive
Typically a job would require a certain level of education.
Employers hiring for the compliance executive job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Business, Law, Education, Accounting, Finance, Communication, Legal, Management, Marketing, Business/Administration
Skills for Compliance Executive
Desired skills for compliance executive include:
Desired experience for compliance executive includes:
Compliance Executive Examples
Compliance Executive Job Description
- Liaise with Testing Group to design equity business test plan for the year and execute the quarterly compliance tests
- Execute foreign disclosure of interest filings
- Provide regular assistance to the ANZ Compliance Management team including diary management
- Coordination of meetings and agendas
- Regular liaison with other regions, divisions and business groups
- New starter and staff transfer/exit processes
- Travel bookings, logistics and expense claims
- Expense reconciliation and invoice processing
- Coordinate relocation of staff as required
- Ad hoc ANZ regional staff requests
- Excellent verbal and written English communication skills essential, fluency in Asian languages Mandarin or Cantonese advantageous
- Knowledge of FCA rules
- Ideally will have previous experience within compliance monitoring or desk reviews
- Maintain overview and providing support of Regulatory Developments and changes that affect the UK business
- Manage the production of monthly compliance reports to senior management in the UK, Europe and non-US where applicable
- Experience of working within a regulated Fund environment
Compliance Executive Job Description
- Have the ability to work on their own initiative and be active in suggesting process improvements
- Be able to prioritise time critical tasks
- Be highly organised particularly during peak reporting periods
- Engages customers at the CXO level to gain their cooperation and participation in a compliance audit process
- Lead negotiator on SMB to large compliance deals
- Develops negotiation plans using Situational Negotiation Skills and templates
- Ability to successfully mitigate complex pushback by customers regarding participation in audit process and refuting of audit results
- Uses CRM tools to track leads, opportunities, activities and results
- Assists Value Added Resellers in providing customer quotes to satisfy compliance purchases, proposals, order forms and product information
- Responsible for cross-selling or up-selling as is appropriate
- Proven ability to lead high-level, broad-based objectives in the context of annual compliance plans
- Proficiency in legal research
- Works with field sales staff or resellers to manage opportunities, account resource allocation, account strategy and closing sales
- Understands how to build a sales pipeline (using Google alerts, Hoovers, McGraw Hill and other online resources) to prospect strategic opportunities
- Pro-actively establishes collaborative relationships with vertical sales teams and partners engaging them with compliance customers to assemble alternate proposals to resolve compliance issues
- Experience and comfort with communicating and negotiating at executive level
Compliance Executive Job Description
- Support to DGM & Manager of AML/Sanction T
- General Affairs in the department
- Provide direct administrative support to the DE DDO site lead which includes calendar management and meeting preparation (documents, presentations ), booking travel, managing expense reports, booking conference rooms, managing OOO calendars, team distributions, interview scheduling and coordination
- Diary management and regular assistance for Global Head of Financial Crimes Compliance (FCC) and team
- Support the Global Compliance Office and FCC functions in communicating their strategy and key priorities
- Coordination of FCC and Global Office meetings, agendas and minutes
- Organise team and charity events
- Providing Personal Assistant support to the Head of BFS Compliance
- Report coordination and writing creating presentation slides in preparation for meetings
- Expense reconciliation & invoice processing
- Successful track record in a software sales role is required
- Ideally a previous experience in License compliance
- Proficient in utilizing various CRM tools
- Sufficient relevant work experience within AML/CFT manager in the banks
- Sufficient relevant work experience within compliance in the banks
- Display a confident, proactive and professional manner
Compliance Executive Job Description
- Independent communication with internal and external stakeholders
- Coordinate team events and meetings
- Coordinating HR information for recruitment processes & onboarding new starters /exiting leavers and consideration of induction training requirements
- Supporting other team members as required, including diary coordination for senior team members
- May work with a third party auditing firm to complete remote and on site audits of customers
- Influences Channel/Industry Sales to get leads
- Analyze reporting metrics and highlight emerging risks
- Preparation of letters, reports, spreadsheets, presentations as required
- Work with insurers in relation to audits
- Carry out Quality Monitoring in line with the annual plan
- Have proven resilience and the ability to work under pressure
- Be capable of understanding risk management concepts
- Have the ability to work independently exercising sound judgment
- Demonstrate an ability to work in an environment with highly sensitive information
- Have a "no task is too big" attitude and flexibility to adapt to a variety of tasks
- Have the ability to work on their own initiative and be proactive in suggesting process improvements
Compliance Executive Job Description
- Ensuring model validation in accordance with firm policies
- Establishing controls for data quality
- Proposing enhancements to our quantitative techniques
- Translating quantitative results into business observations
- Supervising analysts and programmers, such as ensuring development of technical requirements
- Monitoring developments in fair lending analytics in the academic and regulatory communities
- Responding to regulatory requests for data and analysis, and interfacing with regulators during examinations
- Establishing relationships with the appropriate business partners in order to understand business processes and their potential impact on fair lending outcomes
- Working collaboratively with Legal and Compliance partners
- Conducting periodic meetings with business executives to review monitoring results
- Readily identify new regulations that may impact the business and take the lead in drafting compliance policies and procedures to address these issues
- Bachelor Degree, 8+ years Sales/License Compliance related exp
- 1 M+ in revenue/sales responsibility will be preferred
- Oversee compliance with the requirements of the UK Approved Persons Regime and other individual regulatory licensing and registration requirements across the Region
- Three to five years of relevant futures, OTC clearing, swaps, and/or derivatives experience with a law firm, regulator, investment bank, broker, or market participant
- 15+ years of professional experience with significant experience in regulatory compliance at a global financial institution, a government/regulatory agency and/or a law firm