Compliance Manager Job Description

compliance manager job description includes a detailed overview of the key requirements, duties, responsibilities, and skills for this role.

Last update : July 14, 2023

Compliance Manager Job Description

A compliance manager is an individual within an organization that is responsible for the design, development, implementation, and maintenance of an organization’s compliance policies, programs, and procedures.

They manage employee, vendor, customer, and partner compliance issues, as well as work with legal and accounting to ensure that all laws, regulations, and policies are met.

Job Brief:

We are looking for a Compliance Manager to lead and oversee our compliance function. The ideal candidate will have experience in a compliance role, preferably within a financial institution or regulatory body. They will be a detail-oriented and analytical thinker, with the ability to spot risks and mitigate them. They will also be a strong communicator, with the ability to build relationships across the business and with external stakeholders. If you are a self-starter with a passion for compliance, then we would love to hear from you.

Compliance Manager Duties:

  • Protect and reassure clients, staff, and community through compliance, regulation, and risk management
  • Ensure all company policies and procedures are followed
  • Create and implement appropriate controls to ensure the organization meets requirements and maintains its reputation and standing in the community
  • Review and disseminate applicable regulatory requirements and guidelines to related staff
  • Ensure compliance of company operations with federal, state, and local regulation
  • Monitor and report on compliance-related activities
  • Oversee and suggest improvements of internal controls
  • Monitor and report on compliance-related activities
  • Oversee and suggest improvements of internal controls

Compliance Manager Responsibilities:

  • Ensure compliance of company operations with federal and state rules and regulations, including OSHA, EPA, DOT, and DOL, by conducting audits, investigations, and coordinating corrective action plans
  • Discover and resolve quality concerns; work with quality managers to identify areas for improvement
  • Ensure all compliance-related documentation is maintained and filed

Requirements And Skills:

  • Bachelor’s degree in law or related field
  • 4+ years’ experience in compliance regulation
  • Knowledge of regulatory requirements for financial institutions
  • Knowledge of regulatory laws and reporting requirements
  • Strong analytical and decision making skills
  • Ability to communicate effectively with internal and external parties

At [Company Name], we are an equal opportunity employer committed to building a diverse and inclusive team. We encourage applications from people of all races, religions, national origins, genders, and ages, as well as veterans and individuals.

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