Supervisor, Compliance Job Description
Supervisor, compliance
provides AML Compliance support to agents of Western Union and its affiliates to build programs that are following anti-money laundering laws as they apply to Money Services Businesses.
Supervisor, Compliance Duties & Responsibilities
To write an effective supervisor, compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included supervisor, compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Assists Finance and Operations management to ensure compliance with the FRRs when material changes in the firm’s products, business lines, business expansions and mergers/acquisitions occur
Assist Finance and Operations management to identify process improvements and assist to facilitate those improvements from inception through implementation
Manage, oversee, supervise and participate in storeroom operations
Ensure that all documents are published, maintained and archived according to legislative mandates
Provide support to production supervisors and/or other managers that could include but is not limited to conducting qualification of manufacturing and packaging equipment and validation of manufacturing and packing lines
Supervise a five-person Field Compliance Team located throughout the United States
Partner with, and leverage firm-wide monitoring groups and tools to oversee mortgage activities conducted by employees of MSPBNA in MSWM branches, including but not limited to marketing, inquiry and referral activities to help ensure compliance with all applicable regulatory rules and regulations, compliance with all Firm and Bank policies and procedures
Partner with Bank Operational Risk to implement a branch-level monitoring and testing program that will include the review, approval and publication of branch review reports communicating the results of any monitoring and testing activity
Provide oversight to help ensure compliance with Loan and Deposit Production Office prohibitions and restrictions
Prepare and report results of monitoring and testing activities
Supervisor, Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Supervisor, Compliance
List any licenses or certifications required by the position: RAPS, ASQ, RQAP-GLP, CQA, CQE, CQM, GMO, NAFTA, CRCM, SOX
Education for Supervisor, Compliance
Typically a job would require a certain level of education.
Employers hiring for the supervisor, compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Business, Education, Accounting, Finance, Science, Engineering, Management, Technical, Business/Administration, Graduate
Skills for Supervisor, Compliance
Desired skills for supervisor, compliance include:
Anti-money laundering compliance requirements for money services businesses
Money laundering schemes and trends
Mandates
Operations
Policies of law enforcement organizations
Crimes
Relevant anti-money laundering laws
Specific country regulations
NEWave
CLIA regulations and ability to summarize inspection findings for Compliance
Desired experience for supervisor, compliance includes:
Assist in the identification and remediation of mortgage related compliance risks
Monitor risk data and escalate issues to management
Promote Company goals of excellence in overall DOT compliance and assure compliance with all federal, state and local regulations and laws
Monitor the production compliance and review weekly reports, providing feedback when necessary
Prep upcoming productions by maintaining an ongoing schedule and evaluating staffing requirements, inventory control (driver logs, drug testing chains, DOT computers, ), inventory distribution, notifying IT in advance to ensure equipment availability, training new DOT Compliance Admins, and providing support
Train and educate DOT Compliance Admins and Drivers on Hours of Service and other compliance changes
Supervisor, Compliance Examples
1
Supervisor, Compliance Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of supervisor, compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for supervisor, compliance
- Represents the Technical Operations Department on assignments
- Participate in cross functional committees that could impact regulatory requirements of the firm
- Provides direct and administrative supervision to the entire Distribution Team
- Oversee, track and coach the development of direct reports
- Conduct regular meetings to evaluate, and assess performance is in line with specific work objectives
- Continuously evaluate the robustness of control measures and ensure consistent repeatable processes remain intact across all IC locations
- Assess the effectiveness of IA policies and procedures and work with IC supervisors to create desktop procedures as warranted
- Conduct, guide, review and direct mandated IA testing for IC’s policies and procedures
- Ensure all tasks and responsibilities are completed and submitted accurately and within the requested timeframes
- Participate in and lead educational initiatives designed to inform team about relevant legislations, new procedures and practices and other matters of concern
Qualifications for supervisor, compliance
- Experience in educating firm staff on the FRRs
- Excellent written and verbal communication skills in Portuguese, English and Spanish a plus
- Creative and intuitive in assessing and applying coaching methodologies to meet individual learner needs
- Degree with minimum 5-7 years experience with a mutual fund complex or investment advisory firm, at least 3+ years within a compliance department
- In depth understanding and strong working knowledge of applicable local securities legislation and fundamental understanding of applicable legislation in other regions in which the firm operates
- Ability to supervise a global team and develop personnel
2
Supervisor, Compliance Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of supervisor, compliance. 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 supervisor, compliance
- Manage test schedules to ensure accuracy and timeliness
- Assist line of business with root cause analysis and remediation plans
- Recommend change to existing test scripts and/or implement new test scripts to align with current business focus
- Collaborate with line of business leaders to promote organizational quality
- Supervise staff members and delegate workloads
- Serve as client operational contact and maintain good relationships with clients
- Meet reporting deliverables for all services
- Prepare ad-hoc reports and other deliverables
- Resolve problems and errors on a timely basis (with documentation)
- Support service model for various products (Traditional mutual funds, hedge funds, private equity)
Qualifications for supervisor, compliance
- Willing to travel (as needed)Compliance
- Compliance follow-up activities
- Assist in and discuss employees’ performance appraisals
- 2 years relevant work experience or related experience
- Knowledge of mutual funds and private funds
- Experience with Sungard InvestOne, SunGard Geneva and InvestTier Systems preferred
3
Supervisor, Compliance Job Description
Job Description Example
Our innovative and growing company is looking for a supervisor, compliance. 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 supervisor, compliance
- Fulfill departmental staffing requirements, provide mentoring, and manage performance for team member career growth
- Work cross-functionally to establish, administer, and maintain policy related to quality system, engineering change, document control, and records management
- Define and improve work instructions for consistent execution of documents, parts and records, and for change control for product and quality system modifications
- Establish and monitor metrics to show the effectiveness of document and change process tracking, and provide metrics to other departments as requested
- Produce reports and statistics detailing the shortcomings observed and submit recommendations to the Regional Manager
- Act as a resource person and provide periodic training to Investment Advisors and Investment Assistants on regulatory requirements, internal policies and procedures
- Detecting potentially risky situations, producing various analyses and complex assessments, rapidly alerting the Regional Manager and ensuring that corrective action is taken
- Support CA & AQ Product Managers regarding new or modified label claims and format
- Monitors guest behavior
- Monitors employees and volunteers to ensure they are following all alcohol policies
Qualifications for supervisor, compliance
- Experience from working cross-functionally working with people from different cultures
- 21 CFR 200 to 299, 1300 to End
- Shifts of 8 or 10 hours in duration
- Provides technical support on water quality, treatment, permitting, laboratory management, and regulatory compliance issues
- Strong working knowledge of water and wastewater treatment
- Thorough knowledge of water quality and environmental regulations affecting the business
4
Supervisor, Compliance Job Description
Job Description Example
Our company is looking to fill the role of supervisor, compliance. 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 supervisor, compliance
- Coordinate the completion of laboratory investigations, deviations, corrective and preventative actions, and change controls
- Leads specific aspects of a project and guide solutions for difficult problems.Identify best solutions based on project requirements
- Actively participates and contributes to the Laboratories mission and objectives
- Responsible for monitoring the accuracy of the documentation of member's letters (extensions, denials, carve out and authorizations), issuance and timely submission
- Preparation of annual health plan audits
- Back up and support to Request Specialist supervisors
- Maintenance of UM referral tools
- Prepare weekly UM committee meeting
- Prepare training material for all UM staff in order to be compliant with all regulations
- Policy and Procedures updates
Qualifications for supervisor, compliance
- Experience in regulations, such as OSHA, ANSI, FEPA
- Knowledge of cGMPs, local and international regulatory requirements (e.g., FDA, WHO, MHRA, EMA)
- Acts as a supervisor for NJDEP certified drinking water laboratory
- Maintains laboratory certifications
- Lab managment experience preferred
- Willing to travel (as needed)Internal Audit
5
Supervisor, Compliance Job Description
Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of supervisor, compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for supervisor, compliance
- Track and publish metrics and KPI’s to achieve objectives and adherence to regulations
- Conduct business dealings with the highest level of integrity and regard for governmental and legal regulations and environmental issues
- Prepare monthly and special request reports as required
- ExperienceInternational Trade
- Oversight of specific Quality Control staff
- Serves as the voice of Beacon Quality Control for external audits
- Track and report on the efforts of the team
- Serve as the key contact for escalated issues related to the team
- Produce and maintain recurring reports that show the performance of the team identify potential deficiencies
- Keeps senior site management apprised of issues that may arise
Qualifications for supervisor, compliance
- Supervises other staff who have the responsibility for the implementation of key quality improvement (QI) strategies, which may include initiation and management of provider, member and/or community interventions (e.g., removing barriers to care)
- Defines and documents QI Interventions and/or Compliance policies and procedures for the work team
- Identifies and reports gaps in processes that may result in gaps in member care or satisfaction
- Works to ensure that any differences in health plan QI processes from the standard Corporate model have sufficient justification based on market/business needs or State-specific regulations
- Provides and oversees reporting requirements to regulatory agencies
- Effectively manages internal and external vendor communications by collaborating and disseminating reports, defining program descriptions, and sharing analytical findings