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

Job summary 1

The Compliance Manager will work with the business to identify and prioritize opportunities to develop compliance programs and processes. The Compliance Manager will necessarily entail the ability to think strategically within an organization, to work cross functionally with a variety of business groups, and to manage projects. The Compliance Manager will build, modify (and/or implement) business processes to help ensure the company’s legal obligations while maximizing efficiency and business efficacy of the processes. It will also require experience with and aptitude for learning business processes, analyzing compliance objectives and developing and delivering training programs.

Duties & Responsibilities 1

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Work with the Compliance group and the Company to think strategically and identify and prioritize opportunities to build or enhance compliance programs including anticipate and proactively identify opportunities as the legal and/or regulatory environment changes, and/or as the business changes.
Support, or in some cases run, projects to build or enhance compliance programs.
Work cross functionally on projects with associates from business units and other support areas (Regulatory, HR, Finance, Quality, R & D and EHS).
Research compliance objectives accurately and reliably and translate them into business objectives that can be captured in a sound business process.
Provide legal advice (for lawyers only), or facilitate the provision of legal advice, relating to the Company’s obligations in light of its specific business context. Translate this advice into business objectives that can be captured in a sound business process.
Develop, sustain and deliver company-wide compliance communications.
- Develop and deliver engaging compliance training programs.
- Manage a budget to accurately forecast and communicate about spending.
- Commonly work in support of and/or at the direction of the Company’s legal counsel.

Requirements & Skills 1

Job summary 2

Under general supervision, the Compliance Manager performs work of considerable difficulty in management of enforcement compliance including zoning ordinances, codes, and conditions; performs related work as assigned.

Duties & Responsibilities 2

Requirements & Skills 2

Job summary 3

The Compliance Manager is responsible for delivering and executing foundational compliance responsibilities that support the team and management at the advanced level.

Duties & Responsibilities 3

Manage/oversee projects, initiatives, regulatory audits or exams, internal audits, accreditations, on-site reviews, risk assessments; audit planning, conducting mock audits, conducting audit training, managing audit evidence preparation, assessing audit preparedness.
- Establish project plans, gap analysis, milestone dates, and other significant aspects, and leadership updates.
- Maintain knowledge of laws, regulations, company strategies to assess impact, and consult with clients as subject matter expert.
- Conducts complex investigations, document findings, and ensure corrective actions are made. Interface with external clients, regulators, vendors, supplier; internal stakeholders, high level of management.

Requirements & Skills 3

Requires a BA/BS; MS/MBA/JD or professional designation preferred
At least 6+ years of regulatory, ethics, compliance or privacy experience; or any combination of education and experience, which would provide an equivalent background
Ability to travel may be required

Job summary 4

As a Compliance Manager, you will support the compliance program to detect and mitigate compliance risk while ensuring alignment to the business and global Compliance strategy and plan. You will collaborate to develop policies and trainings, execute auditing and monitoring activities and partner with the business on compliance initiatives

Duties & Responsibilities 4

Collaborate with business leadership and the Compliance Officer to detect and mitigate compliance risks.
Support tone at the top with functional leaders and a culture of compliance.
Develop and deliver training, policies and guidance that support business goals.
Implement the Compliance activities within to empower business leadership and effectively manage risk for the company.
Execute programs which ensure organizational compliance with relevant laws, regulations, and standards across regions.
Identify opportunities for continuous improvement of the compliance program and to reflect changes, clarifications, or updates in applicable law, regulations, policy, and business strategy.
- Maintain knowledge of the businesses and their operations; use knowledge of business and compliance metrics to inform the strategy and goals.
- Raise awareness of the compliance program and promote accountability for ethics and integrity.
- Identify and propose enhancements to the Program informed by industry trends and best practices.

Requirements & Skills 4

Job summary 5

We are seeking an experienced Compliance Manager with a proven track record. We are looking for an individual who can provide sanctions guidance and manage projects across all our businesses to drive centralized, low-friction solutions for managing risk, allowing them to focus on their core business.

Duties & Responsibilities 5

Guide management in the development/review of applicable policies, procedures, and business practices based on a detailed understanding of sanctions regulations.
Ensure that best practices specific to sanctions regulations are shared across team members.

Requirements & Skills 5

Job summary 6

The Compliance Manager guarantees that our business processes and transactions follow all relevant legal and internal guidelines. Your duties will include reviewing and documenting employee work, developing company policies, and responding to policy violations. Areas of focus include PCI and payment systems compliance, SOC 1 and 2, information security and data policies and compliance as well as other internal and external regulated areas of our business. The ideal candidate will be professional, highly-analytical, and possess excellent written and verbal communication skills. To prosper in this role, you should be fluent in risk management and our industry’s principles.

Duties & Responsibilities 6

Develop and implement company policies and regulations.
Oversee all business operations relating to compliance including policies, investments, and procedures.
Design and monitor control systems to deal with violations of legal rules and internal policies.
Regularly assess the efficiency of control systems and recommend effective improvements.
Review and evaluate company procedures and reports to identify hidden risks or common issues.
- Coordinate with different department managers to review all departmental compliance policies.
- Perform periodic audits on company procedures and processes.
- Lead employee training sessions on legal and compliance issues.

Requirements & Skills 6

Bachelor’s degree in law, finance, business management, or a related field
Must have or be willing to obtain a compliance certification such as PCI Qualified Service Assessor or Certified Information Privacy Professional
8+ years’ proven experience in a compliance or risk management role
- Knowledge of legal requirements and procedures
- Excellent oral and written communication skills
- Highly-analytical with strong attention to detail

Job summary 7

Our team is looking for a Compliance Manager to support the Compliance program by supporting the strategy, development and implementation of all aspects of Company's Compliance obligations.

Duties & Responsibilities 7

Support the strategy, implementation, and execution of our program
Ensure compliance with current regulations, and other relevant legislations
Coordinate with key cross-functional teams (e.g. Engineering, Product, Operations, Data Analytics) to ensure effective implementation and functioning of the program
Maintain and carry out a risk assessment framework for products and services, customers, and other factors of our business
Support the risk-based Transaction Monitoring strategy, program, policies and procedures, and systems
Partner with the FIU on ensuring review, resolution, escalation, and reporting of suspicious activity alerts are handled per expectations, and compliance metrics are reviewed and handled per expectations
- Support the Design processes relating to identification of suspicious activity and associated reporting to regulatory authorities
- Contribute to AML related audits and inspections from external parties including regulators, and ensuring findings are remediated appropriately
- Coordinate and develop materials for internal and external stakeholders in explaining our compliance risk and control environment

Requirements & Skills 7

Bachelors degree or equivalent experience in Compliance, with a specialty in BSA/AML
Knowledge of BSA/AML regulations globally
Knowledge of and experience in Transaction Monitoring program implementations, including building and evaluating vendor systems
Knowledge of red flag indicators and typologies used in online, mobile and blockchain-based environments
- Experience working at a hands on level with other groups like engineers, product managers, data analysts, operations analysts in building AML processes and systems
- Experience interfacing with regulators and other governmental stakeholders, as well as internal senior management
- Minimum of 7 years completing BSA/AML compliance work

Job summary 8

The Compliance Manager is a member of the Compliance team and reports to the Regulatory Compliance Risk Manager. The Compliance Manager administers the Compliance Program to ensure conformity and adherence with all applicable state and federal laws and regulations.

Duties & Responsibilities 8

Maintaining and effectively executing the Compliance Program;
Ensuring employees are aware of and adhere to established marketing compliance review and approval procedures;
- Performing reviews in a timely manner, documenting review results and providing constructive and valid feedback to ensure end-product is technically compliant, accurate and absent of any discrimination;
- Providing regulatory guidance related to marketing of new products/services or promotions, as well as new marketing formats or initiatives;
- Monitoring oversight of in-branch related marketing initiatives.

Requirements & Skills 8

Job summary 9

We are looking for a Compliance Manager.

Duties & Responsibilities 9

Responsible for hiring, coaching, training, and performance management of staff.
Recognize, identify, and escalate O&P compliance or process related risks to Compliance Director. Evaluate and provide recommendations for risk mitigation or enhancements to policies, controls, processes and/or procedures.
Manage team of analysts to achieve compliance assurance for new generation assets under construction.
Assist Subject Matter Experts with interpreting requirements, determining compliance to the requirement, evaluating evidence, and building controls, policies, and procedures to ensure compliance.
Coordinate self-audits and provide annual training to applicable departments within the company.
- Manage requests for information from the regional Reliability Entities and Independent System Operators as required.
- Active participation in assigned electric sector stakeholder committees and working groups within the regional Reliability Entities and Independent System Operators to understand the business impacts.
- Other duties as assigned.

Requirements & Skills 9

Seven years of experience in a legal or regulatory environment.
Strong knowledge and understanding of regulatory process and requirements, to ensure compliant operation.
Strong project and/or program management skills.

Job summary 10

The Compliance Manager is responsible for facilitating the establishment of corporate policies and procedures, including providing support to division management and staff in researching, drafting, developing, reviewing and editing organizational policies and compliance-based documentation. The Compliance Manager serves as a focal point for internal, procedural compliance development and as the Legal Department liaison to internal divisions regarding best practice standards in non-profit management.

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