Compliance Mgr Job Description
Compliance mgr
provides support and control for export declaration activities, and maintain compliance with the International Traffic in Arms Regulations (ITAR), and Export Administration Regulations (EAR), Foreign Trade Regulations (FTR), Customs and Border Protection Export Enforcement (CBP), and other relevant trade compliance regulations.
Compliance Mgr Duties & Responsibilities
To write an effective compliance mgr job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance mgr job description templates that you can modify and use.
Sample responsibilities for this position include:
Participate in strategic initiatives as directed by management including, but not limited to, issues and exam management regulatory interaction
Responsible for tracking and researching issues and/or program gaps and related mitigation plans and resolution
Coordinating with employees across GBAM and GCB as needed to implement the action plan for the M&T MRA meet established framework requirement
Facilitate GECC-wide centralized ABAC management and governance by serving as the primary point of contact within International for ABAC issues, ABAC monitoring, collection of ABAC program and risk metrics, tracking of trainings, and activities relating to divestitures of businesses within International
Regulatory reporting, regulatory liaison, and interpretation of DFSA rules
Develop and maintain a support relationship for key accounts comprising local Middle East Banks and Financial institutions
Conduct field and site audits to monitor compliance with the standards set forth by the company
Investigates or arranges for all identified operational compliance issues and environmental compliance issues/accidents and near-misses to be investigated
Supervises the performance of on-site inspections to audit physical conditions and safe and effective work practices
Advise project teams on specific IT Risk & Compliance requirements
Compliance Mgr Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Compliance Mgr
List any licenses or certifications required by the position: CAMS, ISO, CPA, SOX, ACFE, ACAMS, DER, OSHA, CISA, SQF
Education for Compliance Mgr
Typically a job would require a certain level of education.
Employers hiring for the compliance mgr job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Business, Education, Engineering, Management, Finance, Business/Administration, Accounting, MBA, Law, Computer Science
Skills for Compliance Mgr
Desired skills for compliance mgr include:
CBP and ATF
ITAR and EAR
Consult on the development of business requirements for new system implementations and enhancements
Payroll and time and attendance solution utilized by Amazon
Buckle vendors
Color tables and size scales
Current HIPAA regulations
Customs
Department/class codes
FINRA
Desired experience for compliance mgr includes:
Serving as point of contact for company's external auditors in defining walkthrough and testing timelines, gathering of requesting data and review of provided data for accuracy and completeness
Assisting with the transition of the Sarbanes-Oxley initiatives to the process owners, and encourage ownership
Engaging in ad hoc projects as assigned by supervisor, which may include re-engineering projects around technology systems and controls, fraud assessments from a financial systems perspective and reviews of systems and controls for international and/or domestic acquisitions
Manage weekly Project Engagement reviews
Stay informed about technology trends, directions and uses throughout the industry
Strong technical skills (MS Powerpoint, Word, Excel, SharePoint, Project, Visio )
Compliance Mgr Examples
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Compliance Mgr Job Description
Job Description Example
Our growing company is hiring for a compliance mgr. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance mgr
- Responsible for UAT sign off for payments/finance issues
- Asist CS Training team in developing relevant courses for concepts of PCI and SOX compliance and maintains a robust Compliance knowledge resource for the CS team on the portal site
- This position develops the annual budget and selects, develops, and evaluates personnel to ensure the efficient and effective operation of the function
- Enforce FCC Closed Captioning requirements for all long-form content airing across AMCN domestic linear feeds advance platforms
- Participation with other managers (Program, Contracts, Business Development, and Integrated Supply Chain) in the development and implementation of enterprise and business unit policies and procedures for managing associated risk areas
- Provides consistent interpretation of the International Traffic in Arms Regulations (ITAR), Commerce Department Regulations, Foreign Assets Control Regulations, Anti-boycott Regulations, Bureau of Alcohol, Tobacco and Firearms Regulations, Foreign Trade Statistical Regulations, and Export Administration Regulations to Business Unit employees
- Assists in identifying compliance concerns to the Manager, GTC Operations Compliance, identifies errors and areas requiring improvement, and implements corrective actions to resolve problems
- Assists with the development of licensing strategies for the international marketing, sales, support, offshore procurement, and manufacturing of defense and dual use articles
- Participates in the preparation and submission of license applications, Technical Assistance Agreements (TAA's), Manufacturing License Agreements (MLA's), and other requests for approval to the US Department of State Office of Defense Trade Control Licensing, and US Department of Commerce Bureau of Industry and Security, ensuring consistency, accuracy, and provides final approval prior to submission
- Determines and certifies appropriate legal authority for the export of defense article hardware, technical data, and defense services, including dual-use commodities and technology
Qualifications for compliance mgr
- Ability to effect change in others through education, coaching, and leadership
- Ability to analyze and make Quality Improvement recommendations based on metrics
- Understanding of relevant legislation, such as the ADA, HIPAA, FWA, PPACA
- Degree or professional qualification equivalent or relevant technical expertise
- 5+ year’s experience in applicable discipline either customer service and/or finance
- Working knowledge of customer service systems and standards, Subscription Management, Change Management processes
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Compliance Mgr Job Description
Job Description Example
Our company is looking for a compliance mgr. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance mgr
- Craft and update policies and procedures
- Train internal and external parties on trade compliance matters
- Provide Customer Service Excellence when discussing solutions with customers
- Minimal travel may be required to meet the needs of the business which is under 10%
- Position may include oversight of other securitization, funding or financial risk management transaction agreements
- Understand the potential Technology transfer exports for each business type and enhance the program by implementing controls that allow business to operate as flexible as possible
- Oversight, Project Leadership, and Project participation
- Educate and train and earn support
- Conducts training sessions and develops criteria for evaluating effectiveness of training activities
- Develops and implements an Inflight Internal Audit Program (IAP) to support the Internal Evaluation Program (IEP)
Qualifications for compliance mgr
- Deep knowledge of audit methodologies
- Extensive knowledge and application of export / import regulations
- BS/BA in engineering or scientific related field with 6+ years of related professional experience in a cGMP environment or in the operation of an industrial facility
- Team player with an ability to work well across various departments on site business partners
- At least 12 years of professional experience, 5-7 years of Internal Audit experience in large companies or consultancies, preferably inclusive of technology, manufacturing or Professional Services sectors
- Proficiency in utilizing common office applications (MS Office, video conferencing, ) is required
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Compliance Mgr Job Description
Job Description Example
Our growing company is hiring for a compliance mgr. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance mgr
- Performs special analysis and reviews for system implementations, new programs, and/or safety and compliance investigations
- Builds and updates regular reports, ensuring accuracy, for meetings such as the departmental review boards
- Prepares formal written reports backed by adequate evidence to support audit conclusions
- Assists in the research and analysis of cabin safety issues identified through the various reporting channels and then determines risk levels and relevant statistics related to frequency and severity
- Presents data and information related to reporting and audits at various departmental meetings
- Serves as the back-up to the Director of Safety and Regulatory Compliance Inflight
- 500,000 - $1 million operating and/or capital budget
- Lead in ensuring compliance with chemical HazMat (DOT, IMDG, IATA) regulations and practices by Fair Lawn, Bridgewater and Ward Hill personnel, periodically auditing areas for compliance, developing action items to improve compliance in a continuous improvement effort, and providing interface for government agency inspections and corporate auditors
- Manage hotel programs
- All other related duties as assigned by the Sr
Qualifications for compliance mgr
- Strong written and oral communication skills with proven ability to interact effectively with internal customers, management and external professionals
- SAP, PowerPlant, Hyperion, Trintech/Assurenet, SharePoint and Tax software experience desired
- Tax compliance knowledge and experience, especially with accounting for income taxes (ASC 740) and Sarbanes – Oxley requirements preferred
- Experience in the utility industry and knowledge of regulatory accounting a plus
- Minimum eight (8) years
- Prior public accounting, tax, corporate and/or multi-subsidiary company experience a strong preference
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Compliance Mgr Job Description
Job Description Example
Our growing company is hiring for a compliance mgr. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance mgr
- Providing technical Support as the area subject matter expert for quality System processes, procedures and Issues
- Providing and executing annual schedules by assessing compliance of the systems and facilities
- Providing feedback in the form of audit observations, formulating recommendations and determining if corrective actions and commitments have been properly implemented and are effective, and corrective actions and commitments have been properly implemented and are effective
- Assisting in on-site visits prior to or during an FDA or corporate audit inspection to improve compliance to regulation requirements and standards
- Monitoring Compliance performance and reporting appropriate metrics through CAPA and Management Review Boards and monthly reports
- Coordinates the incident reporting and management process
- Periodic review and revision of compliance policies and training materials
- Maintains an in-depth understanding of organizational Code of Conduct, policies and procedures, relevant federal and state laws, regulations, and health industry best practices
- User Test team participant
- 20%-Partner with Install Merchants and Field teams to manage Compliance/ Provider Support workload and build strong working relationships focusing on providing excellent customer service
Qualifications for compliance mgr
- Must have interpersonal skills to provide effective leadership and to communicate effectively with hospital personnel and external representatives
- Minimum of 10 years experience in related field of building systems or facilities management
- Manages the operations of the investigative staff to ensure financial and productivity goals are achieved and unit objectives are met
- Responsible for the supervision of the regulatory functions associated with the investigative processes, including reporting and oversight functions
- Responsible for hiring, employee development, performance evaluation, and all management functions
- Prepares reports, presents case updates, conducts presentations, and makes recommendations for process improvements
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Compliance Mgr Job Description
Job Description Example
Our company is growing rapidly and is hiring for a compliance mgr. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance mgr
- Support the annual testing processes for SEC Rule 38a-1, Finra Rule 3120, and testing of state requirements
- Provides training to company personnel regarding the appropriate use of complaint codes and complaint handling process
- Initiates communication and interaction cross-functionally within the company to support collaborative efforts and project development impacted by applicable FDA regulations
- Other duties are required/assigned
- Serve as an expert compliance resource for general inquiries and provide compliance oversight for the TPAG Risk Mitigation front office and Centralized Supervision Unit
- Develop field compliance policy
- Assist, oversee and influence business partners to ensure that adequate compliance policies, procedures and supervision are developed and implemented
- Research applicable laws and regulations, analyze their effect on business practices, and work with Legal Department partners as needed to clarify requirements and address related issues
- Work with business partners to identify potential problems, close recognized gaps and support effective day-to-day compliance oversight
- Serve as an expert resource on assigned subjects for multiple lines of business and/or larger scope, provide compliance support to assigned business lines, act as a key resource and “go to” person for business partners and influence appropriate business partners and leaders with respect to key business initiatives and compliance requirements
Qualifications for compliance mgr
- Two (2) years of department level supervisory experience
- Two (2) years direct experience in ensuring adherence to compliance policies and procedures
- Experience in management and administrative procedures with exceptional writing skills and computer literacy
- Routine overnight travel is necessary
- Able to pass background investigation, drug screen and medical evaluation
- Bachelor’s degree in Criminal Justice or related field and two (2) years of experience in working with or on contract and compliance issues