Policy & Compliance Analyst Job Description
Policy & Compliance Analyst Duties & Responsibilities
To write an effective policy & compliance analyst job description, begin by listing detailed duties, responsibilities and expectations. We have included policy & compliance analyst job description templates that you can modify and use.
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Policy & Compliance Analyst Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Policy & Compliance Analyst
List any licenses or certifications required by the position: US, CIPP, III, IASAE, IAM, IAT, II, CISA, PMP, CISSP
Education for Policy & Compliance Analyst
Typically a job would require a certain level of education.
Employers hiring for the policy & compliance analyst job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Education, Business, Engineering, Management, Graduate, Technical, Law, Legal, Finance, Accounting
Skills for Policy & Compliance Analyst
Desired skills for policy & compliance analyst include:
Desired experience for policy & compliance analyst includes:
Policy & Compliance Analyst Examples
Policy & Compliance Analyst Job Description
- Identify changes needed to Corporate accounting policies due to new accounting pronouncements and other changes
- Provide documentation for updated policies for review and approval
- Lead SOX weekly coordination meetings with Sector SOX PMO’s, Internal Audit and External Auditors to discuss emerging issues and prepare agenda for weekly meetings
- Prepare quarterly SOX 10-Q/10-K sub-certification process binder for review by Controller, CFO, and CEO
- Support the Manager with Enterprise SOX duties as assigned
- Assist with compliance reviews and special projects as needed
- Review of employer plan documents and amendments for alignment with Policy language
- Draft policy limitations language based on interpretation of plan documents and work directly with producers to explain revised terms
- Formulate, affect, interpret and implement policy procedures, guidelines, strategic imperatives and product updates
- Consult and advise management of trends in employer plan language and data quality of required reporting and final underwriting requirements
- Experience with current technologies used for technical security control reviews, including Microsoft System Center Configuration Manager, IBM Endpoint Manager (IEM) or Tivoli Endpoint Manager (TEM), BigFix, and Tenable Nessus software preferred
- Strong business acumen and exceptional analytical ability with 3-5 years of relevant experience
- Advanced SQL business logic and coding skills
- Bachelor’s degree in finance, business management or like concentration
- 5 -10 years of market data compliance experience
- Direct experience with implementing policies, procedures and controls as integral components of a compliance program
Policy & Compliance Analyst Job Description
- Coordination of on-boarding of new data products while ensuring compliance with market data contracts and compliance with reporting obligations
- Consulting of customers and internal departments regarding the type of use of market data policy and price changes
- Independent creation and delivery of notifications about the changes within the organization and to the customers
- Maintenance of price lists and documentation of usage guidelines
- Direct communication with suppliers and customers (especially in English)
- Provide oversight, challenge and critical friend support to the Org ID teams to ensure that at all stages of the client lifecycle, the Policy is accurately described and operationally executed, in both letter and spirit
- Serve as a point of escalation for Policy related issues raised by internal and external stakeholders
- Provide input to and periodic oversight of standard operating procedures (SOPs) to ensure they are fit for purpose from a Policy compliance perspective
- Engage with subscribing financial institutions (SFIs) to support service delivery activities including pre and post implementation work
- Proactively analyse requests for visas (client-specific requirements) to assess whether Policy change is warranted based on the number and nature of visas in a particular Policy rule set
- Experience in Compliance and/or Internal Audit department or related experience’
- Working knowledge of and the ability to understand source contract obligations
- Ability to critically review policies and procedures
- Ability to analyse and document complex business processes
- Critical thinker - analytical/problem solver
- Ability to gather and interpret relevant data
Policy & Compliance Analyst Job Description
- Produce relevant project plans and communication plans
- Assist in the development, initiation, maintenance, and revision of policies, standards, procedures, work instructions, and guidelines of security programs and related activities
- Drive communication and implementation of security policies, procedures, and technologies across the organization
- Work closely with legal to ensure that proper security controls are in place to protect sensitive data of our company, employees, and customers within the law and regulations around the world
- Partner with internal teams to ensure policies meet the needs and goals of CIS
- Collaborate with other departments outside of IT (e.g., Risk Management, Internal Audit, HR, Legal, ) to direct policy and regulatory issues to appropriate channels for investigation and resolution
- Consult with corporate counsel as needed to resolve legal issues related to regulations and standards
- Responsibility for the proper completion of the financial statements and footnotes for the quarterly SEC filings (10K and 10Q), as assigned
- Evaluating internal controls and internal control deficiencies to help strengthen overall control structure
- Managing the process to update and maintain Corporate Controller Policies(CCPs), including updating certain CCPs
- Should be able to present compliance/audit related topics to large group including internal senior management external regulatory/audit authorities
- Demonstrable experience as business analyst
- Ability to provide leadership through influence, inspiration, collaboration, and teamwork
- Well organized, detail oriented and able to manage multiple competing efforts efficiently while working independently
- Bachelor in economics, business economics or business law or multi-year professional experience in a similar position
- Practical experience in the market data area, vendors, banks or stock market desirable
Policy & Compliance Analyst Job Description
- Detailed review of quarterly earnings releases and related supporting documentation
- Development and presentation of training to the Finance organization on policy updates and new GAAP rules and regulations
- Draft, revise, and advise on policies and procedures for retail and institutional business ensuring effectiveness, consistency, and adherence to established firm standards
- Analyze existing procedures to identify gaps, inconsistencies or conflicts and takes appropriate action to resolve
- Assist in managing vendor updates, monitoring the status of drafts out for review
- Discuss as needed regulatory developments with Group and Compliance Directors to ensure awareness and help determine whether updates to policies and procedures are required
- Work independently or with P&P Group, other members of Compliance and/or various members of other departments, to coordinate the drafting, publication, and updating of new or amended policies and procedures as required by regulatory developments or changes in the firm’s business practices
- Work with several business units and areas of the Firm including Equity and Fixed Income, Information Technology, Operations, Credit, and Accounting on policy and procedure development
- Communicate policy and procedure updates and regulatory changes to branches and business units as needed by drafting Compliance Bulletins or Alerts
- Oversee the day-to-day Governance process for the semi-annual refresh and publication of program operating regulations and related documents
- Experience with market data administration
- Experience with leading market data audits
- Experience in the analysis of contracts or guidelines
- Interest in financial market topics basic IT knowledge
- Profound knowledge of MS Office, especially MS Excel and basic knowledge in SQL queries
- Willingness to further education
Policy & Compliance Analyst Job Description
- Prepare and refresh the semi-annual publication cycle timeline of key dates and milestones
- Manage all internal and external communications regarding the publication timeline and required activities
- Manage the budget and invoice tracking assigned to external vendors and facilitate payments and approvals when needed
- Serve as first point of contact for receipt of information and queries related to policy and program requirements and ensure appropriate policy owners are engaged
- Manage calendars and schedule working sessions and governance review sessions in accordance with the timeline
- Facilitate exchange of materials between policy owners and external vendors
- Learn the full features and capabilities of the web hosting platform (Amex360) in order to manage access, organize and assign content, and execute communications through the platform
- Ensure governance approvals are received and properly recorded
- Assist with the preparation and maintenance of regular reports and dashboards for review and approval by applicable Committees
- Carry out additional duties and assist with ad hoc projects as required
- BA or BS degree in Electrical, Electronic or Computer Engineering, or Computer Science or 11+ years of experience with Cybersecurity
- The Policy Team is responsible for the Org ID Policy, Customer Due Diligence (CDD) Standards, related Lists, Screening Policy and Monitoring Policy (collectively “the Policy”), equivalent Policy documents for each jurisdictional Utility
- Policy Team members specialize in certain areas according to expertise, interests and role requirements
- The Policy Compliance Analyst will report to the Head of Policy Compliance, and in doing so, will assist the Global Head of Policy and Standards, Risk Managed Services (RMS) in the development, maintenance, operational implementation and oversight of the Policy
- Successful candidates will be ethical, highly motivated, diligent, self-starters, team players and have the gravitas to engage with senior internal and external stakeholders
- Intellectual interest in legislative and regulatory frameworks