Sample Job Description for Regulatory Compliance Senior Manager
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Regulatory Compliance Senior Manager Job Overview
Regulatory Compliance Senior Manager Job Description Sample
Manages the compliance programs, policies, reporting, and practices for an organization or business.
JOB LEVEL
M03
EDUCATION/DEGREE
Bachelor's Degree
REPORTS TO
Director
Salary Range
BASE 50%
$172,650
TOTAL 50%
$194,070
Job Responsibilities for Regulatory Compliance Senior Manager
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.
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| 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 | Retail Store Team Leader | The Retail Store Team Leader has responsibility of staffing, store compliance, inventory management, and promotion. Manages the day-to-day operations of a retail store. Being a Retail Store Team Leader may require a bachelor's degree or its equivalent. Maintains and oversees accuracy of records associated with cash, receipts, inventories, and employee attendance. In addition, Retail Store Team Leader typically reports to a senior manager. The Retail Store Team Leader 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 Retail Store Team Leader typically requires 5 years experience in the related area as an individual contributor. 1 to 3 years supervisory experience may be required. |
| 4 | Safety Programs Compliance Senior Manager | The Safety Programs Compliance Senior Manager analyzes safety metrics to evaluate and track program performance, identify trends, and ensure operational alignment with safety objectives. Manages an organization's safety programs, policies, and procedures to promote occupational safety and prevent workplace accidents. Being a Safety Programs Compliance Senior Manager oversees incident investigations to determine root causes, develop preventative measures, and prepare safety reports for management. Implements processes and standards to inspect and audit the organization's procedures, facilities, and equipment and ensure compliance with safety regulations and requirements. In addition, Safety Programs Compliance Senior Manager organizes safety trainings, meetings, and orientations to ensure adequate understanding of risks and safety protocols. Requires a bachelor's degree. Typically reports to a director. The Safety Programs Compliance Senior Manager typically manages through subordinate managers and professionals in larger groups of moderate complexity. Provides input to strategic decisions that affect the functional area of responsibility. May give input into developing the budget. Working as a Safety Programs Compliance Senior Manager typically requires 3+ years of managerial experience. Capable of resolving escalated issues arising from operations and requiring coordination with other departments. |
| 5 | 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. |
Regulatory Compliance Senior Manager Skills & Proficiency Level
| Skills | Proficiency Level |
|---|---|
| Knowledge Management | Level 3 |
| Risk Management | Level 3 |
| Planning and Organizing | Level 4 |
