Compliance Analyst Job Description template and pdf with duties [2024]

Job summary 1

The Compliance Analyst conducts Compliance Reviews to help ensure that Assurant and its clients have appropriate processes and methods to effectively comply with applicable federal and state regulations regarding mortgage insurance processing and lender placement, thereby reducing the companies’ risk and exposure to potential losses. Results are summarized and provided to the Business and to Clients periodically to demonstrate compliance with government regulatory agency requirements, contracts, agreements, and/or standards.

Duties & Responsibilities 1

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Requirements & Skills 1

Job summary 2

The Team is responsible for continuing to enhance a culture of compliance that protects our longstanding brand of excellence. The Compliance Analyst will provide essential compliance monitoring, reporting, training, communication, and enablement support to drive sales effectiveness.

Duties & Responsibilities 2

Manage the collection and consolidation of compliance data from multiple sources and segments
Create and manage monthly and quarterly reports
Perform data analysis to identify trends and opportunities
Develop and share actionable insights to improve business performance
Collaborate with internal/external partners and senior leaders to support the development and execution of compliance workstreams focused on enhancements based on trending compliance results
- Manage and execute a diverse set of business transformation initiatives
- Seek and utilize external perspective to inform strategic recommendations to enhance frameworks
- Manage ad hoc projects as needed

Requirements & Skills 2

Job summary 3

Under general supervision, the Compliance Analyst reviews and analyzes new and existing laws, regulations, and policies for their impact. This position monitors and helps to ensure compliance with regulations in the specific areas they support.

Duties & Responsibilities 3

Reviews and monitors policies and procedures to ensure compliance with regulations. May help draft policies and procedures in response to changes and updates of specific laws and regulations.
Assists with the implementation of new policies and procedures that affect compliance
Researches and analyzes regulatory requirements as needed to ensure compliance.
Monitors compliance regarding regulatory-related communications including training and manuals
- Assists in the coordination of responses for Corrective Action Plans, inquiries, follow-up, reporting, and any other requests.
- Assist in the preparation of materials and requirements for regulatory audits
- May act as subject matter expert in reviews of Requests for Proposals (“RFPs”) and non-standard contracts with large employer groups.

Requirements & Skills 3

Bachelor’s Degree in Business or related field
- Three years experience in compliance-related fields, preferably in healthcare
- Three to five years experience in the area the position provides support
- License may be required

Job summary 4

Our Compliance Analyst maintains a thorough understanding of government applications and regulatory requirements and helps our clients navigate them by providing outstanding service.

Duties & Responsibilities 4

Ensure the timely, accurate filing of our client’s applications to government agencies
Draft and file applications to government agencies by paper and electronically
- Uncover gaps in service and registration and report to the client
- Conduct thorough and accurate research, calling government agencies, and communicating with clients about their projects by phone and email
- Meets established Service Level Agreements, such as response time, onboarding duration time, and work completed

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Job summary 5

We are looking for a Compliance Analyst to support our US-based Customer Experience associate team and establish quality-based processes and procedures. The primary task of the Compliance Analyst is auditing, monitoring, and providing actionable insight and feedback to associates and the department. The Compliance Analyst will gather and document information to help improve associate performance and drive process improvement throughout the organization. Ultimately, we’re looking for a solid addition to our team, someone with a professional demeanor and excellent communication & interpersonal skills.

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Job summary 6

We are currently looking for a Compliance Analyst to join our Compliance Consulting practice who has experience using Charles River Development (CRIMS) or BlackRock Aladdin. The ideal candidate will have a mix of project, compliance, regulatory, business analysis, and product skills.

Duties & Responsibilities 6

Requirements & Skills 6

Bachelor's degree in Finance or related field. Industry certification or advanced degree a plus
investment management (buy-side related) compliance experience, preferably as a compliance officer, compliance manager, or implementation specialist for a vendor.
Experience working with Blackrock Aladdin, Charles River, or Bloomberg AIM, with a strong understanding of the data being fed into these systems
Project management and business analysis skills preferred.
Experienced in creating and executing test plans on projects for rule testing.
- Strong knowledge of equities, fixed income, derivatives, and the trade order life cycle
- Solid written and oral communications skills
- Understanding of compliance and the Investment Company Act of 1940 a plus

Job summary 7

The Compliance Analyst is an entry-level position that supports the Company’s compliance management system by performing file testing, process reviews, risk assessments, research, change management monitoring, and issue tracking at the instruction and under review of the Compliance Manager. The Compliance Department supports deposit, lending, and operation-related consumer compliance efforts.

Duties & Responsibilities 7

Requirements & Skills 7

Job summary 8

We are looking to hire a Compliance Analyst dedicated exclusively to Company’s department to join our Compliance team.

Duties & Responsibilities 8

Review and approve interview invites and agendas
Ensure compliance with internal processes and procedures
- Review and approve interview transcripts, specifically to identify confidential information and other inappropriate content
- Work with researchers and analysts to finalize content for publication
- Work as part of a global team servicing the needs of stakeholders in multiple geographies and departments

Requirements & Skills 8

Organized with excellent attention to detail
Ability to develop strong working relationships across the organization, working with all levels and all offices globally
Excellent oral and written communication skills
Ability to understand and interpret complex legal concepts and regulations
Ability to identify risks and apply strategies to minimize them
- Bachelor's Degree required
- Previous legal or compliance experience strongly preferred
- Law or other graduate degree preferred

Job summary 9

The Compliance Analyst will assist with the development, implementation, and maintenance of a company-wide Compliance Management System. This role aids in compliance oversight of all areas of the organization.

Duties & Responsibilities 9

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Job summary 10

We are looking for a Compliance Analyst.

Duties & Responsibilities 10

Assist with the onboarding of new investment adviser representatives
Evaluate advisor marketing materials for compliance with the advertising rules
Provide initial and periodic compliance training to advisers and staff
Provide compliance advice to our investment advisers and staff as needed
General compliance functions, including testing of compliance and regulatory controls to evaluate their effectiveness
- Perform due diligence and research on compliance topics as needed
- Maintain documentation required for SEC examinations
- Special projects as needed to support the growing compliance department

Requirements & Skills 10

Bachelor’s degree preferred
Knowledge of Investment Advisers Act preferred
Experience in compliance, risk management, or internal audit in the financial services industry preferred
Proficiency with Microsoft Office
Strong attention to detail
Ability to quickly learn and understand organization structure and internal control systems for compliance testing and monitoring
- Ability to work independently under the general guidance
- Exceptional organizational and prioritization skills with demonstrated ability to manage competing priorities and complete tasks within deadlines
- Excellent verbal communication and business writing skills and ability to interact in a professional, cooperative, and timely manner with internal and external personnel at all levels

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