Compliance Analyst Job Description (2023)
The following is a sample job description for a Compliance Analyst to reference when building your resume. Assess the qualifications and requirements listed to get an understanding of what you need to include on your resume for what employers expect in this field.
SUMMARY:
A Compliance Analyst is someone who helps to ensure that a company or organization is in compliance with various laws and regulations. They create policies, procedures, and other documents that ensure that the company’s operations are being conducted in a legal manner. Compliance Analysts also work with employees to help them understand how to conduct themselves in accordance with these rules.
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FUNCTIONAL DUTIES:
- Conducts internal audits, monitoring and testing of the company’s code of conduct and policies to ensure compliance with applicable laws, regulations and policies.
- Analyzes the results of internal audits and ensures that corrective actions are taken where necessary.
- Reviews new or modified products, services and procedures to ensure compliance with legal requirements.
- Develops policy recommendations for management review.
- Understand the company’s compliance policy and ensure that it is followed by all employees
- Ensure that all required forms are completed and submitted in a timely manner
- Analyze data to determine if there are any trends or patterns that indicate possible compliance violations, and report these findings to supervisors
- Review incoming data to ensure that it has been properly classified and labeled correctly so that it can be correctly processed.
REQUIREMENTS:
- Bachelor’s degree in Accounting or Finance.
- 3-5 years of compliance experience, preferably in the financial services industry.
- Experience with Sarbanes-Oxley Act and other regulatory requirements.
- Experience with various compliance regulations including: FDA, FTC, FCC, SEC, FINRA, CFTC.
- Must be able to take initiative and act independently.
- Must be able to communicate effectively with clients and coworkers.
- Must have excellent interpersonal skills.
- Proficient in MS Office (Word, Excel, PowerPoint, Outlook), Google Docs, etc.
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