Sample Job Description for Regulatory Reporting Senior Coordinator
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Regulatory Reporting Senior Coordinator Job Overview
Regulatory Reporting Senior Coordinator Job Description Sample
Coordinates the tracking, preparation, and completion of regulatory filings, registrations, licensing, and compliance documents.
JOB LEVEL
P02
EDUCATION/DEGREE
Bachelor's Degree
REPORTS TO
Supervisor or Manager
Salary Range
BASE 50%
$88,460
TOTAL 50%
$90,310
Job Responsibilities for Regulatory Reporting Senior Coordinator
Ensures documentation fulfills all requirements and meets filing deadlines. Assists with noncompliance investigations and implementing and monitoring compliance controls.
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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 | Corporate Compliance Director | The Corporate 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. Directs an organization's compliance programs, policies, reporting, and practices. Being a Corporate Compliance Director develops risk-based compliance testing of existing procedures and controls to identify, detect, and correct noncompliance. Oversees internal controls and auditing systems that monitor and report on regulated activities and processes. In addition, Corporate Compliance Director evaluates and implements changes to compliance processes due to new or amended regulations. Establishes communication and training initiatives that inform stakeholders about compliance requirements. Requires a bachelor's degree. Typically reports to top management. The Corporate 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. Working as a Corporate Compliance Director typically requires 5+ years of managerial experience. Deep knowledge of the managed sub-function and solid knowledge of the overall departmental function. |
| 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 | 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. |
Regulatory Reporting Senior Coordinator Skills & Proficiency Level
| Skills | Proficiency Level |
|---|---|
| Office Support Tools | Level 2 |
| Attention to Detail | Level 3 |
| Honesty And Integrity | Level 3 |
