Sample Job Description for Regulatory Compliance Director
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Regulatory Compliance Director Job Overview
Regulatory Compliance Director Job Description Sample
Directs an organization's compliance programs, policies, reporting, and practices.
JOB LEVEL
M04
EDUCATION/DEGREE
Bachelor's Degree
REPORTS TO
Top Management
Salary Range
BASE 50%
$193,260
TOTAL 50%
$226,440
Job Responsibilities for Regulatory Compliance Director
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. Develops 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. Establishes communication and training initiatives that inform stakeholders about compliance requirements.
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|---|---|---|
| 1 | Strategic Sales Director | The Strategic Sales Director sets short- and long-term sales strategies and evaluates effectiveness of current sales programs. Directs and oversees an organization's sales policies, objectives, and initiatives. Being a Strategic Sales Director requires a bachelor's degree. Recommends product or service enhancements to improve customer satisfaction and sales potential. In addition, Strategic Sales Director typically reports to an executive. The Strategic Sales Director manages a departmental sub-function within a broader departmental function. Creates functional strategies and specific objectives for the sub-function and develops budgets/policies/procedures to support the functional infrastructure. Deep knowledge of the managed sub-function and solid knowledge of the overall departmental function. Working as a Strategic Sales Director typically requires 5+ years of managerial experience. |
| 2 | Safety Programs Compliance Director | The Safety Programs Compliance Director ensures the workplace is in compliance with OSHA and other state, local, or industry specific regulations and that periodic safety audits are conducted. Directs, develops, and oversees the general health and safety policies and procedures of the organization. Being a Safety Programs Compliance Director develops a systemic process to collect data and analyze the causes of accidents and generate required reporting. Provides programs that ensure a safe workplace including safety orientations, skill training, emergency preparedness, proper job instruction, hazardous material disposal procedures, and the use of protective equipment. In addition, Safety Programs Compliance Director implements initiatives to reduce and prevent accidents, occupational illnesses, and exposure to long-term health hazards. Requires a bachelor's degree. Typically reports to top management. The Safety Programs Compliance Director manages a departmental sub-function within a broader departmental function. Creates functional strategies and specific objectives for the sub-function and develops budgets/policies/procedures to support the functional infrastructure. Deep knowledge of the managed sub-function and solid knowledge of the overall departmental function. Working as a Safety Programs Compliance Director typically requires 5+ years of managerial experience. |
| 3 | Director of Ethics and Compliance | The Director of Ethics and Compliance designs and develops programs to assess and manage legal and regulatory compliance risks and to establish high ethical standards of conduct for the organization. Develops, directs, and promotes the organization's global ethics and compliance function. Being a Director of Ethics and Compliance communicates the organization's ethical standards with messaging and deliver employee training programs that raise awareness about ethics-related topics such as Anti-Bribery, Anti-Corruption, Antitrust, Conflicts of Interest, and others. Ensures that policies reflect domestic and international legal requirements and industry-specific codes governing ethical standards and comply with transparency reporting requirements. In addition, Director of Ethics and Compliance monitors compliance with policies and investigates and remediates any non-compliant actions. Responsible for maintaining confidential reporting systems allowing employees, customers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation. Requires a bachelor's degree in area of specialty. May require the Certified Compliance and Ethics Professional (CCEP)certification. Typically reports to top management. The Director of Ethics and Compliance manages a departmental sub-function within a broader departmental function. Creates functional strategies and specific objectives for the sub-function and develops budgets/policies/procedures to support the functional infrastructure. Working as a Director of Ethics and Compliance typically requires 5+ years of managerial experience. Deep knowledge of the managed sub-function and solid knowledge of the overall departmental function. |
| 4 | Director of Employee Training & Development | The Director of Employee Training & Development collaborates with functional management teams to assess ongoing and future training and development needs as well as effectiveness of established programs. Directs the design, planning, and implementation of corporate training programs aligned with the objectives and strategy of the company. Being a Director of Employee Training & Development provides engaging communications about program information to encourage participation and highlight the value and benefits of training. Develops a program delivery schedule that provides training as needed and in locations that work for the participants. In addition, Director of Employee Training & Development approves new training techniques and suggests enhancements to existing training programs. Oversees and establishes relationships with vendors to provide additional outside training programs. Manages and develops training professionals. Requires a bachelor's degree. Typically reports to top management. The Director of Employee Training & Development manages a departmental sub-function within a broader departmental function. Creates functional strategies and specific objectives for the sub-function and develops budgets/policies/procedures to support the functional infrastructure. Working as a Director of Employee Training & Development typically requires 5+ years of managerial experience. Deep knowledge of the managed sub-function and solid knowledge of the overall departmental function. |
| 5 | 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. |
Regulatory Compliance Director Skills & Proficiency Level
| Skills | Proficiency Level |
|---|---|
| Knowledge Management | Level 3 |
| Risk Management | Level 3 |
| Planning and Organizing | Level 4 |
