Implements and coordinates an organization's auditing strategy and activities for regulatory compliance.
Deploys internal controls, best practices, and strategies to identify process deficiencies and implement improvements. Gathers, analyzes, and consolidates data for required regulatory reporting to fulfill content and scheduling requirements. Supports external regulatory inspections and internal audits and may coordinate document reviews, protocol reviews, validation reviews, and training programs as part of auditing processes. Maintains and updates a knowledge base or information system of the financial regulations, required processes, and industry/regulatory agency standards that govern a business or a product.
Job Title | Job Description | |
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1 | 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. |
2 | Senior Vice President of Engineering | The Senior Vice President of Engineering oversees engineering practices, systems, and designs to ensure compliance with organizational policies, industry standards, and regulatory requirements. Provides leadership and oversight to develop or improve technical products, systems, or processes that meet specified requirements and standards. Being a Senior Vice President of Engineering assists with planning and implementing engineering objectives, processes, and budgets to ensure activities align with the organization's strategy. Monitors and refines engineering processes, tools, and systems to ensure operational efficiency and quality of solutions. In addition, Senior Vice President of Engineering collaborates with senior leaders to develop engineering strategies, including facilities planning, manufacturing process design, the application of new technologies, and maintenance. Coordinates vendors and external partners to ensure availability, reliability, and quality of sourced materials or technology. Requires a bachelor's degree in engineering or related discipline. Typically reports to top management. The Senior Vice President of Engineering manages a business unit, division, or corporate function with major organizational impact. Establishes overall direction and strategic initiatives for the given major function or line of business. Has acquired the business acumen and leadership experience to become a top function or division head. |
3 | Senior Benefits Analyst | The Senior Benefits Analyst analyzes current benefits trends to estimate impact on organization and tracks applicable benefits legislation. Researches, analyzes, evaluates, and administers corporate benefit plans and programs to meet the organization's strategy. Being a Senior Benefits Analyst may lead and direct the work of lower level benefits analysts. Provides reports to management regarding employee benefits data findings. In addition, Senior Benefits Analyst may provide recommendations of benefit programs to management. Requires a bachelor's degree. Typically reports to a Manager. Being a Senior Benefits Analyst contributes to moderately complex aspects of a project. Work is generally independent and collaborative in nature. Working as a Senior Benefits Analyst typically requires 4 to 7 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 | Compliance Analyst I | The Compliance Analyst I monitors activities impacted by regulatory requirements related to the organization's governance and any industry-specific or location-specific laws. Supports the development and implementation of compliance programs, policies, reporting, and practices for an organization or business. Being a Compliance Analyst I implements changes to compliance processes due to new or amended regulations. Utilizes established internal controls and auditing systems to identify, detect, and correct noncompliance. In addition, Compliance Analyst I prepares and updates communication materials. Assists with training initiatives that inform stakeholders about compliance requirements. Requires a bachelor's degree or equivalent. Typically reports to a supervisor or manager. Being a Compliance Analyst I work is closely managed. Works on projects/matters of limited complexity in a support role. Working as a Compliance Analyst I typically requires 0-2 years of related experience. |
Skills | Proficiency Level |
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Process Improvement | Level 3 |
Project Management | Level 2 |
Attention to Detail | Level 3 |