Compliance Senior Advisor Job Description
Compliance senior advisor
provides guidance, evaluation and advocacy on external audit responses (PCI DSS, HIPAA, SOC2, ISO 27001, FedRAMP, GDPR).
Compliance Senior Advisor Duties & Responsibilities
To write an effective compliance senior advisor job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance senior advisor job description templates that you can modify and use.
Sample responsibilities for this position include:
Work with key stakeholders to translate regulatory requirements and standards into policies, processes and controls
Assess changes to regulatory requirements and standards and determine impact on internal policies, controls and processes
Providing input into the formulation, implementation, review and updating of compliance policies, documents and manuals in light of current, new and evolving regulation and market practices
Assist in development and maintenance of Regulatory Change Management Program governance documentation, including related policies and procedures
Proposes adjustments to existing Regulatory Change Management Program, governance documentation such as policies and procedures
Interacts with advisors, business consultants and various internal departments senior levels of management in fully evaluating and communicating compliance determination, , coordination of special projects and investigations
Establishes and maintains compliance standards by maintaining current compliance manuals
Provides guidance to management/employees when dealing with difficult questions of law and policy with regard to government agency requirements
Identifies major regulatory changes
Support the use of the CIBS Risk Management Framework and Protiviti system across the business in accordance with Divisional and Group requirements·
Compliance Senior Advisor Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Compliance Senior Advisor
List any licenses or certifications required by the position: CRCM, CISSP, CISA, CAMS, CAFP, AML, ISO, ACAMS, AMLP, DSS
Education for Compliance Senior Advisor
Typically a job would require a certain level of education.
Employers hiring for the compliance senior advisor job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Associate Degree in Business, Financial Services, Associates, Finance, Education, MBA, Engineering, Law, Information Technology, Economics
Skills for Compliance Senior Advisor
Desired skills for compliance senior advisor include:
Contracting laws
Industry practices sufficient to provide guidance to the CAMO workforce
Policies
Application controls and technology risks
Audit standards
Concepts related to information systems audit
EU GDPR
General IT controls
ISO 27001
Desired experience for compliance senior advisor includes:
Support management with the development and maintenance of their Risk Registers (BU top down and departmental bottom up)
Assist management with the identification, analysis and evaluation of risks (workshops, interviews, questionnaires)
Challenge management on risks that have been recorded
Provide clear, pragmatic guidance and support to the business on regulatory issues
Support management with the development and maintenance of their Risk Registers
Conduct compliance audit, recipient audits, financial control audits, internal controls over financial reporting reviews
Compliance Senior Advisor Examples
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Compliance Senior Advisor Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of compliance senior advisor. 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 compliance senior advisor
- Steer the drafted Policies and Standards through the various approval processes, allowing sufficient time for stakeholders to review and provide input
- Establish a strategy and implement a process for managing the tracking and reporting of AML-related Policies and Standards and their implementation timelines and renewal schedules, for purposes of reporting to AML-related operating committees, regulatory examination management and internal audit
- Directing and enforcing compliance with all applicable DOT, OSHA, and Hazardous Material regulations and laws
- Insure adherence and knowledge of changing transportation related laws, regulations and expectations
- Manage and coordinate safety activities, through subordinate supervisory personnel, to ensure implementation of
- Provides ethics training and presentations on key risk areas
- Works with global ethics team with regional employees
- Form ADV/Supplements & Form BD Filings
- Training/Awareness Programs
- Regulatory Exams/Inquiries/Filings
Qualifications for compliance senior advisor
- Relevant Professional Designation (CPA or CIA)
- 6+ years IT, Digital, Design and program/project management experience to include proven experience in financial services
- 6+ years of experience in roles involving compliance oversight, audit/risk management, or supervision of the distribution practices of a broker-dealer and/or investment adviser in a large to mid-sized firm
- Strong knowledge of investment compliance topic control activities and framework
- Rules and regulations of the Office of the Comptroller of the Currency (OCC)
- A strong understanding of Financial Regulation, in particular
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Compliance Senior Advisor Job Description
Job Description Example
Our company is looking for a compliance senior advisor. 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 compliance senior advisor
- Act as a strategic business partner, including by providing effective influencer, educator and adviser, to CAS and related Operations management to identify compliance needs and develop, enhance and implement effective compliance programs addressing those needs, including where necessary the revision of policies, procedures and written supervisory procedures
- Manage the development and execution of effective compliance communication program, in collaboration with SME and business unit management, which increases the awareness of the code of business conduct, corporate policies, employee responsibility for compliance, and methods of reporting any suspected wrongdoing
- Maintain the integrity of the Compliance rules-based system for all funds/accounts, and ensure updates are accurate and changes are timely
- Supports and Participates to Client/Regulatory Audits
- Some years of experience
- The provision of robust, timely and pragmatic compliance advice to mainly Crude, Products and LNG business
- Prepare and participate in compliance risk assessments
- Support internal investigations and external regulatory enquiries/investigations
- Support the design and delivery of compliance training
- Leads multiple audit engagements concurrently from planning through reporting and produce quality deliverables to both business unit/function and professional standards
Qualifications for compliance senior advisor
- Project management/organization
- Teamwork and leading teams
- You are comfortable working independently as primary FBS Compliance representative in the resolution of complex issues with the business unit
- You work directly with business unit management teams and advise the business appropriately
- Youwork closely with management, Compliance, and Legal on compliance matters identified during the review of communication materials directed to retail customers, workplace participants, plan sponsors, and investment advisers
- You work collaboratively with supported business partners and junior to senior members of the organization to advise and guide them on regulatory related issues for and informed decision making
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Compliance Senior Advisor Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of compliance senior advisor. 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 compliance senior advisor
- Subject Matter Expertise in contract analysis, rule interpretation and coding
- Operational best practices ensuring proper control activities and framework are in place and followed
- An active participant in department initiatives, including but not limited to the user acceptance testing of new compliance rules, new functionality and the identification of business requirements, and new regulatory requirements
- Develop and analyze regulatory change reports for trends and serves as point of escalation for regulatory change related issues and matters
- Assist with the administration of the Regulatory Rules Inventory
- Participate in development of strategic technology solution for processing regulatory changes
- Oversees regulatory change management process for assigned business unit(s) and provides guidance and support as needed
- Ensures that regulatory change management lifecycle activities are executed appropriately and in a timely manner by coordinating assessment and implementation activities associated with regulatory changes
- Serves as point of escalation of regulatory change related issues and matters and informs and advises appropriate Senior Management about issues that may involve rule violations or potential liability
- Monitors exceptions and other internal reports for trends adherence with regulatory change process
Qualifications for compliance senior advisor
- You ensure broad awareness of regulatory requirements and internal operating procedures regarding the review of communications
- You proactively anticipate and address perspectives and concerns of key stakeholders
- Interpersonal – Ability to partner, interact, collaborate, build trust, negotiate with and influence staff from all levels of the organization
- Communication – Precise and accurate communication skills are critical to the candidate’s effectiveness
- Accountability and Judgment – Ability to own issues and initiatives, and see them through to their proper completion
- Support day-to-day transportation of goods activities in North America
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Compliance Senior Advisor Job Description
Job Description Example
Our growing company is looking to fill the role of compliance senior advisor. 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 senior advisor
- Prepares and delivers written and oral presentations to various working groups, forums and committees
- Assists in development and testing of strategic technology solution for processing regulatory changes
- Facilitates maintenance of Regulatory Rule Inventory for assigned business unit(s)
- Developing and implementing technical solutions, controls, procedures and processes to meet energy regulatory obligations
- Managing E&C-owned Programs ensuring compliance activities are met as required
- Developing compliance, process, and controls training
- Assessing accuracy and approval of required compliance reports, data requests, compliance/operational surveys
- Establish and maintain effective relationships with applicable local, state and federal government, regulators, commissions, and market participants to support and advance the company's position in regulatory and legislative matters
- Partner with stakeholders across the organization to establish Policy impact analysis and implementation plans and timelines
- Track Policy adoption and identify outstanding implementation and policy compliance issues
Qualifications for compliance senior advisor
- Support both forward and reverse logistics operations
- Apply and maintain DG product attributes
- Transportation of Dangerous goods specialist well versed in the interpretation and application of Dangerous regulations 49 CFR, IATA and IMDG
- Strong awareness of industry trends, business conditions, product/technology/industry knowledge, and all other factors that may impact our business
- Possess strong communication skills and ability to work effectively with senior management
- Problem solving abilities and ability to work in a team environment
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Compliance Senior Advisor Job Description
Job Description Example
Our company is hiring for a compliance senior advisor. 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 compliance senior advisor
- Provides guidance and support to the legal, compliance and corporate policy issues impacting internal business clients
- Prepares regulatory reports and applicable management reporting as necessary, identifies and tracks key measures and metrics, and designs presentations to facilitate senior management discussions
- Participates in developing and delivering training and education to the business as needed
- Provide Compliance review of CAS initial due diligence of new introducing firms and ongoing Compliance oversight of the CAS processes for onboarding and periodic assessment of CAS clients
- Lead responding to regulatory inquiries and customer complaints related to the CAS business and use these inputs and reported enforcement actions against other firms in providing advice and ongoing risk assessment to the CAS business and input into Compliance risk assessments and periodic reporting
- Understand current and proposed laws, rules, and regulations impacting CAS and advise and educate the business by working both independently and in collaboration with CAS, Operations, Compliance, AML and other control functions
- Manage the annual compliance training curriculum with consideration given to mandatory requirements, risk assessments and demonstrated competencies through the review of student analytics
- Manage the development and execution of the Manager Toolkits the implementation of a Compliance Liaison program
- Assist with the identification and implementation of compliance-related process improvements and systems to improve the efficiency of the department in fulfilling their compliance oversight role
- Assist Compliance Director and Compliance Counsel with quarterly reporting to the Compliance and Enterprise Risk Committee other strategic departmental projects, as necessary
Qualifications for compliance senior advisor
- Experience in annuity products is preferred
- Implementation experience is preferred
- Solid understanding of securities markets, different investment types and derivatives a plus
- Strong PC skills including Microsoft Office (excel)
- Bachelor's degree or 4 years of equivalent work experience in addition to the minimum experience required
- Proficient in using Microsoft Office (Word, Excel, PowerPoint, etc)