Sample Job Description for Senior Compliance Analyst
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Senior Compliance Analyst Job Overview
Senior Compliance Analyst Job Description Sample
Supports the development and implementation of compliance programs, policies, reporting, and practices for an organization or business.
JOB LEVEL
P03
EDUCATION/DEGREE
Bachelor's Degree
REPORTS TO
Supervisor or Manager
Salary Range
BASE 50%
$102,201
TOTAL 50%
$106,701
Job Responsibilities for Senior Compliance Analyst
Monitors 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 to identify, detect, and correct noncompliance. Implements changes to compliance processes due to new or amended regulations. Prepares and updates communication materials. Assists with 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 | 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 | EDI Application Interface Developer III | The EDI Application Interface Developer III ensures proper configuration and set-up of the EDI tools and systems that support file transfer between internal and external trading partners. Analyzes, designs, and develops specifications for enhancements and extensions with EDI application interfaces and maps. Being an EDI Application Interface Developer III documents processes, data flow, file specifications, and mapping using standard formats. Coordinates trading partner implementations and conducts EDI testing. In addition, EDI Application Interface Developer III may require a bachelor's degree. Typically reports to a manager. Being an EDI Application Interface Developer III work is generally independent and collaborative in nature. Contributes to moderately complex aspects of a project. Working as an EDI Application Interface Developer III typically requires 4 -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 | Ethics and Compliance Analyst III | The Ethics and Compliance Analyst III assists with the delivery and maintenance of programs to assess and manage legal and regulatory compliance risks and establish high ethical standards of conduct for the organization. Supports and coordinates the activities of the organization's global ethics and compliance function. Being a Ethics and Compliance Analyst III supports or delivers employee training programs that raise awareness about ethics-related topics such as Anti-Bribery, Anti-Corruption, Antitrust, Conflicts of Interest, and others. Prepares materials that communicate the organization's ethical standards, policies, and regulations. In addition, Ethics and Compliance Analyst III generates reports of compliance monitoring statistics, investigations, outcomes, and remediations of any non-compliant actions. May administer reporting systems or helplines for employees, customers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation. May require a bachelor's degree or equivalent. Typically reports to a manager or head of a unit/department. Being a Ethics and Compliance Analyst III work is generally independent and collaborative in nature. Contributes to moderately complex aspects of a project. Working as a Ethics and Compliance Analyst III typically requires 4-7 years of related experience. |
Senior Compliance Analyst Skills & Proficiency Level
| Skills | Proficiency Level |
|---|---|
| Knowledge Management | Level 2 |
| Project Management | Level 2 |
| Attention to Detail | Level 3 |
