Compliance Technology Job Description
Compliance technology
provides compliance support for the Brazilian Businesses Divisions (Equities, FI and Investment Banking), as well as support functions: IT, Risk, Operations, controllers, finance.
Compliance Technology Duties & Responsibilities
To write an effective compliance technology job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance technology job description templates that you can modify and use.
Sample responsibilities for this position include:
A strong background in the financial services / banking industry with experience in a global team / role
A very strong background in application technology
Knowledgeable of the application development standard processes and controls aligned to TRC
Manage a team of country specific technology compliance officers and subject matter experts across multiple jurisdictions in Asia
Accountable for developing and implementing the technology compliance strategy for Asia
Accountable for specific Asia projects to address cross LoB/ location regulatory issues and regulatory analysis within Asia working across the Asia Compliance teams
Work with the global compliance team to define foundational global business processes, evaluate current processes and technical solutions, identify gaps and prioritize gaps across the global agenda
Interface with clients, perform compliance testing, partner in project development, and manage Compliance Risk Assessment process
Complete the Compliance Risk Assessment process per Minimum Standards and interface with Business partners on identified issues and action plans
Interface with external regulators and internal auditors as needed
Compliance Technology Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Compliance Technology
List any licenses or certifications required by the position: CISA, CISSP, ITIL, ISO, CIA, CPA, PMP, GRCP, CRISC, CIPP
Education for Compliance Technology
Typically a job would require a certain level of education.
Employers hiring for the compliance technology job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Computer Science, Business, Engineering, Technology, Technical, Information Technology, Management Information Systems, Education, Management, Information Systems
Skills for Compliance Technology
Desired skills for compliance technology include:
Application
Data and infrastructure architecture disciplines
ITIL processes
Tax/Equities/Prime Brokerage/Equity Settlements
Investment Banking
Financial
Privacy regulations
REST API & Web Services
Swim-lane
Use cases
Desired experience for compliance technology includes:
Degree in Mathematics, Statistics, Decision Sciences, Quantitative Methods and Modeling, Econometrics, with a solid background in statistics
Demonstrated use of statistical techniques
Demonstrated ability to produce clear, concise written work products
3 years of Anti-Money Laundering (AML) Experience or 3 years experience with knowledge in specific banking transaction and customer data sets, , Retail, Wires, Payments, DDA
Equities, fixed income, funds, OTC and listed derivatives products
Trading, sales, clearing and settlement processes & practices
Compliance Technology Examples
1
Compliance Technology Job Description
Job Description Example
Our company is searching for experienced candidates for the position of compliance technology. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance technology
- Perform the required regulatory due diligence on offshoring (IAS) and Outsourcing (TPO) impacting all line of business in Asia Pacific locations
- Work with business and location compliance to advise the local regulatory requirements adhere to global policy and standards
- Partner with all stakeholders to establish a firm wide compliance frameworks in accordance with global policy local regulatory requirements in Asia
- Assist & coordinate with LOBs, Corporate, and local governance committee to review and assessing regulatory requirements
- Participate in ad hoc Privacy and Offshoring/ Outsourcing related projects working with colleagues in other control functions, Compliance and LoBs
- Contribute as part of the Data Protection Compliance Team to the further improvement of the team’s operating model and processes
- Lead the area of technology compliance across the enterprise
- Fully manage the budget for all compliance activities globally across the enterprise
- Resolve issues arising from non-compliance, developing solutions that are acceptable to regulators, account for budget constraints, and are technically feasible
- Operate the Technology Compliance space with full accountability
Qualifications for compliance technology
- Client asset protection
- 3 years of Anti-Money Laundering (AML) Experience or 3 years of hands-on experience with and expert level knowledge in specific banking transaction and customer data sets, , Retail, Wires, Payments, DDA
- Experience in all phases of systems development life cycle
- SQL Server Stored Procedure Programming
- College degree, specializing in Operations, Business or Technology or equivalent work experience
- Risk Management, Audit / Business Control
2
Compliance Technology Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of compliance technology. 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 technology
- A thorough understanding of technology concepts which enables you to constructively challenge and collaborate with technology specialists in their own domains
- Able to plan, own, and run a portfolio of architecture tasks and potentially a small team
- Delivery focused and able to identify and interpret stakeholders needs and requirements
- Flexible, able to organize and prioritise your own workload
- Preferably educated to at least Bachelor’s degree level or equivalent
- Governing TRC with global collaboration and co-ordination
- Jointly establishing and co-Chairing the TRC review committee
- Collaborating with the Director TRC Infra RRC to establish and manage consistent TRC compliance
- Developing and maintaining the CIO TRC Book of Work (BoW) and assessing and reporting for compliance
- Co-ordinating across Technology infrastructure to ensure timely and complete assessments
Qualifications for compliance technology
- Knowledge of Enterprise-wide tools such as EURC, ePurchase, TechHub, is a plus
- Systems & controls
- ISACA - CRISC, CISA or CISM
- Client Focus - Appreciate the customer service concept
- Business Analyst/IT development background (5 to 6 years of experience)
- Develop, implement and manage technology processes and frameworks ensuring a holistic approach to identifying and satisfying Compliance needs
3
Compliance Technology Job Description
Job Description Example
Our company is hiring for a compliance technology. 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 technology
- Leveraging related Divisional Control and Regulatory Office capabilities
- Establishing and managing relationships with key stakeholders across the Chief Operating Office / Chief Information Office
- Developing, monitoring and reviewing the Key Performance Indicator’s and Key Reporting Indicator’s defined for TRC
- Developing and maintaining linkage between internal and external TRC activities
- Analysis and project management skills
- The ability to prioritise and manage multiple projects and deadlines
- Demonstrable Information Technology risk management skills
- Able to demonstrate proficiency of the protocols when interfacing with auditors, control and regulators
- Proficient with communication, presentation and analysis tools and facilities
- Experienced in Technology Audit (beneficial)
Qualifications for compliance technology
- Strong good verbal and written communication skills
- Strategic technology planning including current state assessments, needs analyses, prioritization, resource management and budgeting, and management reporting in partnership with key business and technology stakeholders and Senior Compliance Management
- Managing project initiation/approval so that proposed projects are evaluated against other proposed and existing projects to ensure that resources are deployed consistent with overall Compliance priorities and that potential synergies are identified and captured
- Database programming skills with experience r Microsoft SQL Server 2008-2012 or Sybase 15.x platforms
- Programming experience with C#, Java, Unix shell scripting and Perl
- Experience with ASP.NET 2.0, ASP.NET MVC, WebAPI, ADO.NET, JavaScript, HTML, XML, Ajax, IIS Server
4
Compliance Technology Job Description
Job Description Example
Our company is looking to fill the role of compliance technology. 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 technology
- Maintaining a technology regulatory inventory
- Updating relevant policies and work artefacts to reflect regulatory requirements
- Contributing as subject matter experts on technology compliance consultation, risk assessments and regulatory analysis
- Identifying aggregate, report and escalating compliance risks, issues and control enhancements
- Assisting with preparations for regulatory exams and audits
- Escalating regulatory relations concerns to management
- Actively participate in Compliance technology and operational activities and support compliance systems such as risk assessment operation/system, KYC, AML transaction monitoring
- Supporting and driving delivery for product owner
- Coaching teams on the basics of Scrum or Kanban (as needed)
- Co-coordinating across other teams as needed
Qualifications for compliance technology
- Proficient organizational, analytic, and negotiation skills
- Proven experience within a technical environment
- Methodical troubleshooting and problem resolution skills and an ability to work in a distributed but structured team environment
- Strong customer service delivery mentality - the role requires liaison with internal and external customers
- Experience of working for a global enterprise company
- Understanding of regulatory standards, PCI, SoX, ISO 27001
5
Compliance Technology Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of compliance technology. 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 technology
- Partners with internal HCC, Business Partners and IT to identify, develop and implement technology solutions to enhance data quality to drive monitoring and risk assessment programs across HCC&P, including leading the implementation of the enterprise PRIZMA aggregate spend and reporting tool
- Provides process and business leadership on project teams in support of HCC&P CTI portfolio
- Manages compliance efforts for the Company as they relate to complex regulatory and policy requirements, program and project development
- Analyzes existing and proposed legislation, regulatory announcements, and industry practices, and assist businesses in the development and implementation of procedures to meet these requirements
- Manages control process validation to ensure compliance with laws, rules and regulations
- Partners with business unit managers to respond to reports issued by regulatory agencies or audit
- Manage a team of technology compliance professionals
- Maintains contact with regulators, government officials, and senior Business Unit managers
- Partners with internal HCC, Business Partners and IT to identify, develop and implement technology solutions to enhance data quality to drive monitoring and risk assessment programs across HCC&P, including the implementation of the enterprise PRIZMA aggregate spend and reporting tool
- Provide process and business leadership on project teams in support of the HCC&P CTI portfolio
Qualifications for compliance technology
- Experience with C#, .NET, SQL Server
- Understanding of current legal and regulatory requirements relating to information security and privacy
- Penetration Testing experience and knowledge of Web filtering technologies
- Singapore base
- Preferably 8-10 yrs
- Prior experience performing comprehensive data analysis and database design in an evolving data environment