Sample Job Description for Regulatory Compliance Supervisor
Job Description Management
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Regulatory Compliance Supervisor Job Overview
Regulatory Compliance Supervisor Job Description Sample
Supervises the compliance programs, policies, reporting, and practices for an organization or business.
JOB LEVEL
M01
EDUCATION/DEGREE
Bachelor's Degree
REPORTS TO
Manager or Head of a Unit/Department
Salary Range
BASE 50%
$111,020
TOTAL 50%
$115,660
Job Responsibilities for Regulatory Compliance Supervisor
Monitors all 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 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. Implements changes to compliance processes due to new or amended regulations. Supports communication and 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 | Sales Team Supervisor | The Sales Team Supervisor recommends changes to current sales techniques or procedures based on team performance and new selling techniques. Supervises and coordinates the daily activities of sales representatives engaged in promoting and selling a product by phone or mail. Being a Sales Team Supervisor typically reports to a manager. May require a bachelor's degree in business. The Sales Team 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. Thorough knowledge of department processes. Working as a Sales Team Supervisor typically requires 3-5 years experience in the related area as an individual contributor. |
| 3 | Labor Safety Supervisor | The Labor Safety Supervisor coordinates materials and resources to educate the workforce and raise awareness of safety procedures and best practices. Implements safety programs, policies, and procedures to promote occupational safety and prevent workplace accidents. Being a Labor Safety Supervisor documents and investigates accidents, injuries, and safety concerns to understand the root cause and recommend solutions to improve workplace safety. Monitors and tracks safety metrics to evaluate program performance and prepares routine reports for management insight. In addition, Labor Safety Supervisor maintains inspection and audit documentation in compliance with regulatory standards and requirements. Assists with organizing and providing safety trainings, meetings, and briefings and acts as the main point of contact to address safety questions or concerns. Requires a bachelor's degree. Typically reports to a manager. The Labor Safety 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 Labor Safety Supervisor typically requires 3-5 years experience in the related area as an individual contributor. Thorough knowledge of functional area and department processes. |
| 4 | 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. |
| 5 | Clerical Support Supervisor | The Clerical Support Supervisor establishes work procedures and standards to improve efficiency and effectiveness of assigned operations. Oversees various clerical office functions, including but not limited to record keeping, document processing, data maintenance, data entry, report filing, and telecommunications support. Being a Clerical Support Supervisor typically requires a high school diploma or equivalent. Ensures compliance with established corporate standards. In addition, Clerical Support Supervisor typically reports to a manager. The Clerical Support Supervisor supervises a small group of para-professional staff in an organization characterized by highly transactional or repetitive processes. Contributes to the development of processes and procedures. Working as a Clerical Support Supervisor typically requires 3 years experience in the related area as an individual contributor. Thorough knowledge of functional area under supervision. |
Regulatory Compliance Supervisor Skills & Proficiency Level
| Skills | Proficiency Level |
|---|---|
| Knowledge Management | Level 2 |
| Planning and Organizing | Level 3 |
| Coordination | Level 2 |
