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%
$98,601
TOTAL 50%
$102,701
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 | 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 | 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. |
| 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 | Ethics and Compliance Analyst I | The Ethics and Compliance Analyst I 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 an Ethics and Compliance Analyst I 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 I 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 an Ethics and Compliance Analyst I work is closely managed. Works on projects/matters of limited complexity in a support role. Working as an Ethics and Compliance Analyst I typically requires 0-2 years of related experience. |
| 5 | Ethics and Compliance Analyst V | The Ethics and Compliance Analyst V 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 an Ethics and Compliance Analyst V 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 V 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 an Ethics and Compliance Analyst V works autonomously. Goals are generally communicated in "solution" or project goal terms. May provide a leadership role for the work group through knowledge in the area of specialization. Works on advanced, complex technical projects or business issues requiring state of the art technical or industry knowledge. Working as an Ethics and Compliance Analyst V typically requires 10+ 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 |
