Sample Job Description for Compliance Analyst II
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Compliance Analyst II Job Overview
Compliance Analyst II Job Description Sample
Supports the development and implementation of compliance programs, policies, reporting, and practices for an organization or business.
JOB LEVEL
P02
EDUCATION/DEGREE
Bachelor's Degree
REPORTS TO
Supervisor or Manager
Salary Range
BASE 50%
$82,900
TOTAL 50%
$86,000
Job Responsibilities for Compliance Analyst II
Monitors activities impacted by regulatory requirements related to the organization's governance and any industry-specific or location-specific laws. Utilizes established internal controls and auditing systems to identify, detect, and correct noncompliance. Implements changes to compliance processes due to new or amended regulations. Prepares and updates communication materials. Assists with training initiatives that inform stakeholders about compliance requirements.
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View Job Description Templates of Similar Jobs
| Job Title | Job Description | |
|---|---|---|
| 1 | Head of Corporate Compliance | The Head of Corporate Compliance plans and directs programs, policies, and practices to ensure that all business units' activities are in compliance with regulatory requirements. Responsible for an organization's compliance with financial policy and reporting regulations. Being a Head of Corporate Compliance requires a bachelor's degree in area of specialty. Tracks laws and regulations that might affect the organization's policies and implements necessary changes. In addition, Head of Corporate Compliance demonstrates expertise in a variety of the field's concepts, practices, and procedures. Typically reports to top management. The Head of Corporate Compliance manages a departmental function within a broader corporate function. Develops major goals to support broad functional objectives. Approves policies developed within various sub-functions and departments. Comprehensive knowledge of the overall departmental function. Working as a Head of Corporate Compliance typically requires 8+ years of managerial experience. |
| 2 | Corporate Compliance Manager | The Corporate Compliance Manager manages the monitoring of business activities for compliance with applicable rules and regulations. Designs and develops programs, policies, and practices to ensure that the organization complies with federal, state, and local regulatory requirements. Being a Corporate Compliance Manager prepares compliance status reports for internal management and regulatory agencies as required. Tracks relevant laws and regulations and directs staff to update operating manuals and procedural documents when regulations change. In addition, Corporate Compliance Manager requires a bachelor's degree. Typically reports to top management. The Corporate Compliance Manager manages subordinate staff in the day-to-day performance of their jobs. True first level manager. Ensures that project/department milestones/goals are met and adhering to approved budgets. Has full authority for personnel actions. Extensive knowledge of department processes. Working as a Corporate Compliance Manager typically requires 5 years experience in the related area as an individual contributor. 1 to 3 years supervisory experience may be required. |
| 3 | Ethics and Compliance Analyst II | The Ethics and Compliance Analyst II assists with the delivery and maintenance of programs to assess and manage legal and regulatory compliance risks and establish high ethical standards of conduct for the organization. Supports and coordinates the activities of the organization's global ethics and compliance function. Being an Ethics and Compliance Analyst II supports or delivers employee training programs that raise awareness about ethics-related topics such as Anti-Bribery, Anti-Corruption, Antitrust, Conflicts of Interest, and others. Prepares materials that communicate the organization's ethical standards, policies, and regulations. In addition, Ethics and Compliance Analyst II generates reports of compliance monitoring statistics, investigations, outcomes, and remediations of any non-compliant actions. May administer reporting systems or helplines for employees, customers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation. May require a bachelor's degree or equivalent. Typically reports to a manager or head of a unit/department. Being an Ethics and Compliance Analyst II occasionally directed in several aspects of the work. Gaining exposure to some of the complex tasks within the job function. Working as an Ethics and Compliance Analyst II typically requires 2-4 years of related experience. |
| 4 | Corporate Compliance Supervisor | The Corporate Compliance Supervisor monitors all activities impacted by regulatory requirements related to the organization's governance and any industry-specific or location-specific laws. Supervises the compliance programs, policies, reporting, and practices for an organization or business. Being a Corporate Compliance Supervisor implements risk-based compliance testing of existing procedures and controls to identify, detect, and correct noncompliance. Utilizes established internal controls and auditing systems that monitor and report on regulated activities and processes. In addition, Corporate Compliance Supervisor implements changes to compliance processes due to new or amended regulations. Supports communication and training initiatives that inform stakeholders about compliance requirements. Typically requires a bachelor's degree or equivalent. Typically reports to a manager or head of a unit/department. The Corporate Compliance Supervisor supervises a group of primarily para-professional level staffs. May also be a level above a supervisor within high volume administrative/ production environments. Makes day-to-day decisions within or for a group/small department. Has some authority for personnel actions. Working as a Corporate Compliance Supervisor typically requires 3-5 years experience in the related area as an individual contributor. Thorough knowledge of functional area and department processes. |
| 5 | Trainer II | The Trainer II monitors the effectiveness of training on employees using individual or group performance results. Delivers company training programs and workshops to employees and managers. Being a Trainer II contributes to new training program design and existing program enhancements. Collects feedback on sessions from attendees to use for future improvements to content and presentation. In addition, Trainer II develops and creates lesson plans and training aids. May specialize in a particular subject, training program, or function of the company. Training programs may typically include topics such as supervisory/management training, work skills training, team building, and communications. Requires a bachelor's degree. Typically reports to a manager. Being a Trainer II gains exposure to some of the complex tasks within the job function. Occasionally directed in several aspects of the work. Working as a Trainer II typically requires 2 to 4 years of related experience. |
Compliance Analyst II Skills & Proficiency Level
| Skills | Proficiency Level |
|---|---|
| Knowledge Management | Level 2 |
| Attention to Detail | Level 2 |
| Honesty And Integrity | Level 2 |
