Skills & Competencies for Compliance Manager, Senior

Compliance Manager, Senior job profile

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JOB SUMMARY for Compliance Manager, Senior

Manages the compliance programs, policies, reporting, and practices for an organization or business.

JOB RESPONSIBILITIES for Compliance Manager, Senior

Ensures that all activities follow regulatory requirements related to the governance of the organization as well as any industry-specific or location-specific laws. Oversees internal controls and auditing systems that monitor and report on regulated activities and processes. Implements risk-based compliance testing of existing procedures and controls to identify, detect, and correct noncompliance. Evaluates and implements changes to compliance processes due to new or amended regulations. Delivers communication and training initiatives that inform stakeholders about compliance requirements.

Compliance Manager, Senior SALARY RANGE

BASE 50%
$160,426
TOTAL 50%
$180,502
Job Level
M03
Job Code
EX05000167
Education/Degree
Bachelor's Degree
Reports To
Director

Compliance Manager, Senior Skills and Competencies List

Proficiency Levels and Behavioural Indicators
Salary.com identifies five increasing levels of proficiency for each skill/competency. Some jobs require only a relatively low level of proficiency in each skill/competency, while other jobs will require a more advanced level of proficiency in the same skill/competency. These levels rate the degree of proficiency (skill level, expertise) we expect the incumbent to perform in the given skill/competency for the given job. Note that we intentionally do not associate timeframes or years of experience in performing the skill/competency because that can be misleading. Proficiency levels identify what the incumbent knows and can do rather than how long they have been doing it. Also, note that the proficiency levels are cumulative, e.g., a level 4 proficiency implies the ability to perform all the behaviors at the lower levels.
Check each Compliance Manager, Senior skill and competencie below to view definitions.
JOB FAMILY COMPETENCIES CORE COMPETENCIES
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2 general skills or competencies (Job family competencies) for Compliance Manager, Senior

1 Job Family Competencies – Training Management
Proficiency Level -3
Skill definition-Administrating, creating, documentation, tracking, and reporting training programs to drive improvements to the performance and productivity of employees.
Level 1 Behaviors
(General Familiarity)
Explains the importance of implementing effective training programs in our organization.
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Level 2 Behaviors
(Light Experience)
Participates in various career development programs to improve professional knowledge, capabilities, and skillsets.
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Level 3 Behaviors
(Moderate Experience)
Evaluates the quality of training delivered to identify weaknesses and areas for improvement.
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Level 4 Behaviors
(Extensive Experience)
Optimizes the training management system to maximize learning throughout our organization.
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Level 5 Behaviors
(Mastery)
Leads the adoption of multiple learning systems to training strategy.
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2 Job Family Competencies – Compliance Monitoring
Proficiency Level -4
Skill definition-Ensuring that the staff is following all policies and procedures in our business.
Level 1 Behaviors
(General Familiarity)
Documents the processes used in developing and implementing compliance monitoring plans.
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Level 2 Behaviors
(Light Experience)
Collects data and submits required reports necessary for workforce compliance and monitoring.
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Level 3 Behaviors
(Moderate Experience)
Maintains monitoring systems to ensure compliance with established regulations and policies.
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Level 4 Behaviors
(Extensive Experience)
Leads in the analysis of potential risks faced across your entire organization.
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Level 5 Behaviors
(Mastery)
Develops overall monitoring plans to identify compliance risks immediately.
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3 Compliance Manager, Senior - Skill and Competency
Proficiency Level - 3
4 Skill and Competency - Compliance Manager, Senior
Proficiency Level - 4
5 Competency for - Compliance Manager, Senior
Proficiency Level - 5

14 soft skills or competencies (core competencies) for Compliance Manager, Senior

1 Core Competencies – Knowledge Management
Proficiency Level -3
Skill definition-The process of identifying, using, sharing, and maintaining an organization's intellectual assets, best practices, product innovations, etc. to improve organizational performance.
Level 1 Behaviors
(General Familiarity)
Explains examples of the use of organizational knowledge in business and operation practices.
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Level 2 Behaviors
(Light Experience)
Prepares brochures and presentation materials for related training sessions.
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Level 3 Behaviors
(Moderate Experience)
Suggests content and technological enhancements for knowledge management system improvement.
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Level 4 Behaviors
(Extensive Experience)
Evaluates the intellectual capital of our business to identify priorities for knowledge development.
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Level 5 Behaviors
(Mastery)
Leads and coordinates with a range of in-house and external professionals to create a more effective KM system.
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2 Core Competencies – Risk Management
Proficiency Level -3
Skill definition-The identification, evaluation, and prioritization of various risks, followed by controlling practices to minimize any adverse impact.
Level 1 Behaviors
(General Familiarity)
Lists the common types of risks in a business environment.
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Level 2 Behaviors
(Light Experience)
Generates the period risk status report from the system and distributes it to stakeholders.
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Level 3 Behaviors
(Moderate Experience)
Partners with risk owners to drive risk mitigation by highlighting areas in need of remediation.
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Level 4 Behaviors
(Extensive Experience)
Evaluates the performance of the current risk management framework; suggests enhancements and alternative solutions.
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Level 5 Behaviors
(Mastery)
Establishes policies, procedures, and best practices to guide the risk management activities.
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3 Compliance Manager, Senior - Skill and Competency
Proficiency Level - 3
4 Skill and Competency - Compliance Manager, Senior
Proficiency Level - 4
5 Competency for - Compliance Manager, Senior
Proficiency Level - 5

Summary of Compliance Manager, Senior skills and competencies

There are 0 hard skills for Compliance Manager, Senior.
2 general skills for Compliance Manager, Senior, Training Management, Compliance Monitoring.
14 soft skills for Compliance Manager, Senior, Knowledge Management, Risk Management, Planning and Organizing, etc.
While the list totals 16 distinct skills, it's important to note that not all are required to be mastered to the same degree. Some skills may only need a basic understanding, whereas others demand a higher level of expertise.
For instance, as a Compliance Manager, Senior, he or she needs to be skilled in Knowledge Management, be skilled in Risk Management, and be skilled in Planning and Organizing.

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