Corporate Compliance Job Description
Corporate Compliance Duties & Responsibilities
To write an effective corporate compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included corporate compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Corporate Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Corporate Compliance
List any licenses or certifications required by the position: RCSA, CHSP, CHFM, FINRA, EMEA, CRCM, CHC, ACAMS, CISA, US
Education for Corporate Compliance
Typically a job would require a certain level of education.
Employers hiring for the corporate compliance 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, Accounting, Law, Business/Administration, Healthcare, Management, Health Care, Graduate
Skills for Corporate Compliance
Desired skills for corporate compliance include:
Desired experience for corporate compliance includes:
Corporate Compliance Examples
Corporate Compliance Job Description
- Interpret and ensure compliance to applicable regulations, guidelines, and advising senior management on relevant business needs
- Apply the most current knowledge of how to manage regulatory inspections and follow applicable regulations
- Overseeing that appropriate second line of defence coverage is provided where Compliance does not provide primary oversight
- Performing Compliance Risk Assessments
- Providing Independent Challenge to Corporate Office Areas
- Leading and/or supporting monitoring of Corporate Office Areas including, targeted and periodic reviews, formal testing engagements, current state assessment validation exercises and potential surveillance activities where appropriate
- Carrying out Regulatory Change Management responsibilities
- Developing specialized training where appropriate, and tracking training completion rates for compliance-related courses
- Supporting regulatory engagement where necessary
- Being responsible for tracking, evaluating, providing analysis, guidance and trending review on reporting metrics for internal Compliance, enterprise-wide and Board reporting, reporting to Corporate Office Area partners
- University degree holder in related fields including business, law
- At least 6 years of experience in compliance for other financial institutions
- Solid knowledge in IPO, listing rules and takeover codes
- Detailed oriented, independent, proactive
- Excellent communications skills in English and Chinese and fluency in Mandarin is essential
- A 4 year degree or the equivalent in related work experience in the financial industry is required
Corporate Compliance Job Description
- Strong ability to communicate (written and oral) with executive management
- Perform and lead a variety of recurring and non-recurring processes and projects related to program development, improvement and documentation
- Build relationships within compliance department and across multifunctional groups
- Identify ways to make processes more streamlined and efficient
- Define and understand problems, perform research, identify root cause and evaluate alternatives to resolve the problem
- Assess accuracy and completeness of information and data
- Perform assessment of policies, processes and systems
- Perform on-going monitoring and reporting
- Under the leadership of a team leader, executing targeted transaction testing for consumer compliance requirements
- Managing to testing schedules to ensure all tasks and reporting are completed within established timeframes
- 2 years of experience in compliance auditing, compliance monitoring/testing, or BSA/AML investigations experience in the financial industry, or at least 4 years previous work experience in a financial institution together with the knowledge requirements specified is required
- Knowledge of banking operations, technology and leading money laundering prevention, detection and response systems is required
- Technical/expert resource with advanced level of knowledge of regulatory/compliance requirements, including U.S. regulatory requirements
- Industry experience in risk management, risk assessment, internal controls, and/or internal audit role required
- Degree holder in Law, Accounting, Finance or related discipline(s)
- Minimum 3 years of compliance experience in financial institutions and/or regulatory bodies, with exposure to coprorate banking
Corporate Compliance Job Description
- Researches and provides technical assistance for state and Federal regulatory rules and regulations related to Medicaid and prepares guidance documents as necessary to support operational compliance
- Analyzing data from multiple sources and systematically documenting the work and results
- Reviewing transaction tests executed by peers for accuracy and adherence to test procedures
- Assisting in communicating results to Compliance Officers, as needed
- Guided by team leadership, execute targeted, complex transaction testing for line of business compliance requirements in alignment with team and ICTT (Independent Compliance Transaction Testing) methodology and procedures
- Review transaction test executed by peers for accuracy and adherence to test procedures
- Proactively providing who/what/why for all meetings booked and preparing the MD with info and materials in advance
- Proactively providing who/what/why for all meetings booked and preparing the Head of Geneva GWM Compliance with info and materials in advance
- Monitor and drive corporate cGMP inspection readiness at all times through ensuring cGMP compliance to regulatory requirements any other statutory rules applicable in the development, manufacturing and packaging of products
- Develop, implement and maintain quality compliance strategies to be in line with the business goals
- Ability to understand law and regulation as it applies to corporate functions in the financial services sector
- Accounting or Legal background ideal, preferably with CPA/CA or with LLB/JD
- Background in relevant Corporate Office businesses, Compliance, Audit, or Operational Risk functions an asset
- Familiar with banking operations
- Good command of written and spoken English, Cantonese and Mandarin languages
- Be responsible for all round general compliance function for the corporate and investment banking business, licensing, updating policies & procedures
Corporate Compliance Job Description
- Develop, implement and maintain periodic reviews of these systems and implement corrective actions as appropriate
- Work in partnership with all departments (i.e., Research and Development, Engineering, Technical Services, Manufacturing other applicable functions), to develop processes and procedures related to quality compliance for cGMP activities
- Participate in and contribute to vendor development and qualification program
- Develop, implement and maintain a robust Internal (Self Inspection) auditing program in line with cGMP expectations
- Coordinate regulatory, customer, vendor audits and to make sure that the all the audit observations are adequately addressed
- Actively participate in Management Review Board (MRB)
- Review and authorize (Approve/Reject) Quality System tasks on behalf and / or in the absence of Director of Quality or designee
- Monitor and drive corporate DEA inspection readiness at all times through ensuring DEA compliance to regulatory requirements any other statutory rules applicable in the development, manufacturing and packaging of products
- Develop, implement and maintain DEA compliance strategies to be in line with the business goals
- Work in partnership with all departments (i.e., Research and Development, Engineering, Technical Services, Manufacturing other applicable functions), to develop processes and procedures related to quality compliance for DEA activities
- Liaise with HKMA on any regulatory inquiries, audits and examinations
- Have sound knowledge in trade finance, cash management, loans products
- Have good understanding of the regulatory framework for the investment and corporate banking space
- Can demonstrate the ability to initiate change, think strategically, and continuous improvement
- Professional designations an asset
- Ideally will have previous experience within Corporate Banking and Compliance Advisory
Corporate Compliance Job Description
- Develop, implement and maintain a robust Internal (Self Inspection) auditing program in line with DEA expectations
- Guided by team leadership, execute targeted, complex transaction testing for line of business compliance requirements in alignment with team and ICTT methodology and procedures
- Assisting in communicating results to Business Areas
- Communicate new and revised laws and regulatory guidance that affect the company and interpret/summarize the requirements
- Monitor and report business unit compliance metrics and overall performance dashboard
- May function as department representative to corporate operations committees on special projects (i.e., new products, mergers/acquisitions, sales of branches)
- Oversees corporate compliance training
- Assists in the evaluation of the adequacy and effectiveness of compliance and regulatory policies and procedures
- Implements, documents, and maintains a coordinated legislative and regulatory tracking program in support of Medicaid clients
- Participates in the Corporate Compliance Work Group, which includes support of routine review and input into the Company’s Compliance Plan, Program Description, Policies and Procedures, and Annual Work Plan
- The position ofCorporate Regulatory Compliance will be the primary resource for the FDA, USDA, State and local information requests and regulatory program management issues
- Master’s/Law degree preferred
- Minimum of 2 years of experience in a business setting
- Self-starter with ability to prioritize and drive deliverables without supervision
- Comfortable with a constantly evolving environment
- At least 3 years of experience working in an Audit or Compliance testing or advisory role in