Compliance Senior Analyst Job Description
Compliance Senior Analyst Duties & Responsibilities
To write an effective compliance senior analyst job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance senior analyst job description templates that you can modify and use.
Sample responsibilities for this position include:
Compliance Senior Analyst Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Compliance Senior Analyst
List any licenses or certifications required by the position: CISA, CPA, CIA, CISM, CRISC, CISSP, CIPP, AEO, PMI, PMP
Education for Compliance Senior Analyst
Typically a job would require a certain level of education.
Employers hiring for the compliance senior analyst job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Business, Finance, Education, Legal, Accounting, MBA, Law, Business/Administration, Project Management, Computer Science
Skills for Compliance Senior Analyst
Desired skills for compliance senior analyst include:
Desired experience for compliance senior analyst includes:
Compliance Senior Analyst Examples
Compliance Senior Analyst Job Description
- Working on the firm’s Global Disclosures of Interest project the daily monitoring of beneficial ownership and short interest thresholds
- Provide support for the Columbia Threadneedle Chief Compliance Officer’s regulatory and management reporting certain client reporting
- Supports all internal and external audits such as the ERB audit, SOC 2, Penetration Testing, by assisting iARC and Exams Management by planning meetings, gathering requested items, reviewing noted findings and recommendations and assisting with development, tracking and remediation of management action plans
- Execute core recurring projects key to maintaining compliance and security integrity within the Exams environment
- Support iARC projects within Exams by assisting with execution of projects or gathering requested items
- Execute risk-based project initiatives to increase the compliance and security posture
- Build the Exams security program and make recommendations for improvement, including providing guidance to staff regarding the handling of sensitive and confidential Exams data
- Maintain the business continuity plan and perform regular testing of the plan to ensure no critical interruptions to the business
- Measure, analyze and improve business processes by identifying operational efficiencies or reduce the cost of doing business
- Coordinates scheduling and implementation of physician billing compliance review in collaboration with the director
- Ability to be self-directed, prioritise and work to deadlines while maintaining a high degree of accuracy and quality
- The ability to coordinate multiple assignments combined with the ability to view the bigger picture
- Strong analytical, problem solving and documentation skills - with the ability to develop complete, accurate and unambiguous documentation of business processes and system flows
- Solid written and verbal communication skills with the ability to effectively tailor communications to a diverse range of business and technical stakeholder groups
- Firm understanding of the products and services offered by a broker dealer, supervisory responsibilities
- Degree in Accounting, Finance, Business Administration or other relevant disciplines
Compliance Senior Analyst Job Description
- Utilize the regional entity compliance portals for submittal of self-reports, mitigation plans, self-certifications, monthly and quarterly reporting
- Develop, update, publish, and maintain compliance program processes, procedures, and documents
- Leverage methods and tools to monitor, track and assess overall compliance with ongoing IT requirements
- Track and resolve IT control questions and considerations raised by the business
- Represent department’s interests on cross functional teams, working with other departments to facilitate knowledge sharing and implementation of process changes and improvements
- Plan and coordinate multiple projects, and continuously improve and update audit procedures
- Identify process improvements and cost saving strategies around compliance processes and procedures
- Continually review and evaluate system controls and transaction processes, communicating to upper management on a regular basis
- Provide the Business with day to day AML Advisory support on compliance related matters including the review of escalations
- Periodically conduct in-depth, enhanced analysis of prospective and current WUBS Clients and issues that are large, complex and/or high-risk in nature, and provide recommendations to leadership on how to proceed in accordance with Global Due Diligence and Know Your Customer (KYC) guidance
- The candidate should have of the following certifications - CRISC, CISSP, CISA, CPA, ISA/PCIP, CISM
- Local travel between Skillman, NJ, Raritan NJ, Titusville, NJ and Fort Washington, PA sites
- CPA, CIA or CISA a plus
- 3-5 years of data analysis, consulting, audit or compliance experience, public accounting or large corporate internal audit preferred
- Strong information gathering skills
- Associate’s Degree or at least one preferred certification
Compliance Senior Analyst Job Description
- Assist Global Trade Programs Compliance team in researching regulations by reviewing regulatory bulletins and other sources of information and assist in communicating applicable regulatory changes to appropriate personnel
- Serve as a resource to the business to ensure they properly understand what is required to comply with regulations
- Responding to inquiries from Customs Brokers, carrier and forwarders to process import and export shipments and documentation requirements, and other import and export regulations to ensure timely clearance
- Gain an understanding of the finance processes across the worldwide organization of CGI
- Perform sample selection for the worldwide organization of CGI
- Coordinate and assist the local SOX testers across the worldwide organization of CGI
- Review the SOX testing performed by the local SOX testers
- Participate in the preparation of training materials and training sessions
- Perform SOX testing at Corporate level
- Assist the Director – SOX Compliance and his team members with various ad hoc projects requiring input from the SOX Compliance team
- Advanced use of the Microsoft Office Suite (Word, Excel, Access, PowerPoint and Outlook)
- Ability to prioritize tasks effectively, respond appropriately to urgent requests, plan and meet deadlines
- Ability to work as part of a team and to foster a positive work environment ability and willingness to share knowledge with teammates and to provide training
- Strong organization & project management skills are preferred
- Problem Solving/Planning/Organizing - Identifies and resolves problems in a timely manner
- Has the ability to manage confidential information with a high degree of integrity
Compliance Senior Analyst Job Description
- Performs periodic compliance audits and risk assessments and conducts on-going regular compliance monitoring
- Audits data against business and regulatory standards to ensure highest quality
- Assists in the construction and distribution of reports for various governmental agencies
- Creates reports, conducts research and uses data to make suggestions and improve compliance across the company
- Develops and maintains policies & procedures content related to HR compliance
- Identifies and escalates any regulatory compliance risks associated with AAG's activities
- Designs and implements a communication channel to inform HR and the business on regulatory and policy changes
- Creates standardized documentation format that details HR and employee policies, procedures, and process flows
- Identifies risks and recommends mitigation plans and process improvements
- Verifies compliance with regulatory requirements and procedures
- Experience in legal or risk management, working in a regulatory and compliance capacity
- Working knowledge of mortgage broker business model
- 2-4 years of previous working experience in a similar filed within a multinational environment
- The ability to interact with and influence business associates at various levels
- Certification in Records Management
- Bachelor's degree or equivalent job experience in the financial services industry
Compliance Senior Analyst Job Description
- Research, interpret and advise the firm regarding compliance with laws, regulations and guidance applicable to broker-dealers and registered investment advisers
- Providing support to the Compliance Team Leader and act as deputy where required
- Providing internal consultancy to business departments on regulatory matters
- Identifying appropriate regulatory training/knowledge transfer into every area of the business as required
- Interfacing with regulatory bodies as necessary
- Taking an active role in the project process to ensure that regulatory points/matters are considered up front and throughout the project lifecycle
- Direct involvement in various firm wide projects and initiatives
- Ownership of the Compliance internal website
- Lead an assessment of current Compliance technology tools, including the documentation of business requirements and gaps against those requirements
- Assist in the administration of duties pertaining to the Ethics Office such as Personal Trading, Business Gifts and Entertainment and Information Barriers/MNPI administration
- Minimum 2-5 years IT audit/quality/technology experience in a related regulated field
- BS Degree in Management Information Systems, Business or a technology related field
- Familiarity of applicable local securities legislation and fundamental understanding of applicable legislation in which the firm operates preferred
- Highly motivated, dedicated and able to work independently with minimum supervision
- Bachelor’s degree with a major in Finance or Accounting, or equivalent experience
- Public and industry experience in a manufacturing environment preferred