Team Lead, Compliance Team Job Description
Team Lead, Compliance Team Duties & Responsibilities
To write an effective team lead, compliance team job description, begin by listing detailed duties, responsibilities and expectations. We have included team lead, compliance team job description templates that you can modify and use.
Sample responsibilities for this position include:
Team Lead, Compliance Team Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Team Lead, Compliance Team
List any licenses or certifications required by the position: ACAMS, CFCS, CAMS, CFE, CPA, CISA, CISSP, CISI, IEC, ISO
Education for Team Lead, Compliance Team
Typically a job would require a certain level of education.
Employers hiring for the team lead, compliance team job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Accounting, Business, Finance, Education, Graduate, Management, Economics, Business/Administration, Law, Science
Skills for Team Lead, Compliance Team
Desired skills for team lead, compliance team include:
Desired experience for team lead, compliance team includes:
Team Lead, Compliance Team Examples
Team Lead, Compliance Team Job Description
- Assisting in planning, developing, coordinating, scheduling, managing, executing, and closing-out scheduled, assigned, and ad hoc cyber security projects
- Assess needed staff development programs involving award acceptance, including specific areas such as publication restrictions, indemnification, payment types, rules of “agency”, and other background areas to enhance staff performance
- Provide input and recommendations to OSP leadership on needed development of expertise in OSP or formation of structures, organization or workflow to handle related agreements
- Perform critical inspection and repair analysis for due diligence reports by measuring the completeness and accuracy of the information that is flowing back to the business when evaluating the risk of a client
- Include a complete documentation of the research conducted
- Analyze and keep current, all international data transfer agreements in place between US and affiliates in European Economic Area
- Evaluate adequacy of Privacy Language in Vendor Agreements
- Assist in the creation, maintenance and update of a Conduct Risk framework
- Provide project management support to facilitate technical enhancements to existing compliance applications, assist in the creation of work-flows required to deploy new Compliance applications or GRC modules
- Assist in the update and maintain certain elements of the Compliance Sharepoint sites
- Familiarity with US Banking regulations, consumer regulations, Community Reinvestment Act, Fair Lending
- 5+ years of experience in KYC/Due Diligence
- In depth knowledge of key anti-corruption and anti-bribery legislation in multiple jurisdictions, and their cross-border effect, related regulatory expectations
- 5+ years of related banking and policy experience developing/implementing regulatory related policy frameworks in the bank or financial services industry
- Professional designation or graduate degree, such as MBA, Chartered Financial Analyst (CFA), or accounting designation, or equivalent industry experience
- Experience with processes and controls related to procurement, supply chain, accounts payable/receivable
Team Lead, Compliance Team Job Description
- Enhance and oversee the Records Management Framework
- Performs other duties as appropriate or assigned
- Evaluate root causes of problems and identifies options for improvement
- Supervise a team of Contracts Specialists and apply project management principles to ensure the timely execution of contracting activities for the company’s corporate end user departments (including, but not limited to HR, IT, Property Leases, Training)
- Identify, facilitate and lead continuous improvement projects within the Supply Chain function, develop strategies and execute activities to implement those improvements with appropriate Stakeholder engagement
- Collaborate with stakeholders to determine long term contracting strategies
- Manage long term contracting plan and liaise with stakeholders to incorporate into the 2-year Operations integrated plan
- Ensure C&P Department compliance with local, corporate, Joint Venture and regulatory requirements and procedures and ensure reporting timelines are met
- Assist the Local Content Team with regulatory reporting
- Assess the regulatory requirements for Bayu-Undan C&P activities, and determine possible areas for improvement of processes
- Anti-corruption and anti-bribery risk issues, including familiarity with the corruption/bribery risk associated with various CSAs/LOBs and their application to the business and strategies of the Enterprise
- Strong ability to plan and organise own workload and those of others utilising proven project management skills as evidenced by track record of delivering results on time and to a high degree of accuracy
- Ability to clearly report on results and recommendations, including reporting to the regulators, the Board and others as required
- Bachelor's degree or equivelenat work experience
- Multinational experience ideally
- Minimum of 6-10 years of tax compliance and income tax accounting experience in a major enterprise with focus on the energy industry
Team Lead, Compliance Team Job Description
- Manage and continually improve the Compliance Risk Assessment for fiduciary
- Embracing the mindset of being a change agent, provide technical expertise on systems solution architecture, application development and automated testing
- Maintain a deep involvement with application development and implementation processes, including acting as the LCF representative with the Big Data and other Guilds and areas within in Information Management
- Identify, develop and implement cost saving and improvement initiatives within the scope of services delivered to ensure maximum value and return on assets
- Maintain C&P Procedures and documentation, streamline / update to ensure fit for purpose
- Develop expertise in the contracts management system gCMS to become the gCMS Coordinator for ABU-W
- Focal Point for internal and external Supply Chain audits
- Cyber security policies shall be documented and communicated to appropriate personnel throughout the enterprise subscriber organizations
- Provide support and regular updates to the direct reporting lines (Head of KYC of WM Compliance, Singapore) on the tasks undertaken by the WM Compliance Account Review Team
- Ensure files (high risk accounts, commercial/corporate accounts and PEPs etc) that require Head Office validation/approval are closely follow-up by the Team
- Proficient in English, plus another European language
- Proactive and action-oriented attitude in driving projects and preventative measures
- Ability to represent the Quality Site Head in meetings or for decisions as required
- Seasoned professional with experience in senior risk compliance systems management roles or other related experience such as risk management, audit, examination, or similar control-related experience
- Good working knowledge of Sanctions client screening systems such as WLM (SCDM), Oracle OWS
- Good understanding of other areas, Finance, Credit, ALM
Team Lead, Compliance Team Job Description
- The Team Lead Compliance has responsibility for ensuring that all policies and claims are issued and processed properly and that all reporting is completed in accordance with established processes and guidelines
- Design and Implement frameworks for controlled operations across locations and ensure global compliance
- Hire terminate and manage performance appraisals for team and pulling in additional resources when needed specialist teams or people for specific issues opportunities
- Communication of sponsor and regulatory requirements to department representatives during proposal review
- Interpretation of University policies as they relate to proposed work
- Expertise in sponsor electronic systems including effective troubleshooting of issues or problems with systems
- Prepare and present materials to various audiences of proposal requirements
- Provide policy guidance during pre-proposal collaboration with department unit when submission to a complex program is anticipated
- Manage team workload distribution in Manager’s absence
- Communication of federal grant management requirements and non-fiscal compliance requirements to faculty investigator and department representatives
- 5 plus years of regulatory compliance experience
- Bachelor’s degree or equivalent professional qualification (procurement, technical, business and/or legal)
- Significant experience in a contracts role in a large organisation with direct experience of negotiating high value contracts and key contract clauses
- Extensive business knowledge, preferably with some cross functional experience gained outside the Supply Chain organisation
- Experience with complex approvals and compliance regimes
- Experience developing and implementing initiatives and influencing decisions at a strategic level
Team Lead, Compliance Team Job Description
- Lead business process walkthroughs
- Be the facilitator for the control certification process
- Participate in key initiatives and projects related to process and/or system design that impact financial reporting, and
- Review and acceptance of grant/contract awards or federal flow through award (non-FDP) from various sponsors
- Communication regularly with sponsor representative to gather information, reconcile budget and program issues pertaining to specific grant and contract and serve as a liaison for the University with the sponsor representative
- Prepare and present policies and best management practices for an OSP and non-OSP audience
- Prepare and present materials on award terms and conditions, risk assessment, roles and responsibilities and other contractual areas, for an OSP, faculty, or other central office audience
- Serve as an in-house expert in award terms & conditions
- Manage incoming award workload distribution in Manager’s absence
- Serve as a peer mentor in OSP
- Ability to engage and collaborate with stakeholders and cross functional groups at all levels in the organisation
- Previous oil and gas industry experience not essential
- Bachelors degree in accounting or finance or any equivalent degree
- Fluency in English and Thai/Vietnamese speaking preferred
- Bachelor’s degree in information systems, computer science, accounting or a business-related field
- Four or more years of experience performing IT control assessments or related IT compliance experience