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Compliance Director Job Description

The following is a sample job description for a Compliance Director 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:

The Compliance Director is a member of the management team and works closely with the legal department to ensure compliance with applicable laws and regulations. The Compliance Director is responsible for ensuring that the company complies with all relevant laws and regulations. This includes reviewing internal policies and procedures, analyzing new legislation and implementing changes to ensure compliance.

The Compliance Director will also be responsible for developing and maintaining a compliance plan that includes education, training, audit procedures, risk assessment and corrective action plans. The Compliance Director will work closely with other departments including Legal, Human Resources & Administration to ensure that all employees are aware of their responsibilities in regard to compliance.

Additional strategies for this can be found here

FUNCTIONAL DUTIES:

  • Provide oversight for managing the company’s risk management and compliance program.
  • Develop and implement policies, procedures and controls to address compliance issues.
  • Conduct internal audits of the company’s financial, accounting, human resources and legal areas to ensure that all applicable laws are being followed by the company.
  • Conduct external audits on behalf of the company with outside third party agencies, such as auditors from the Securities and Exchange Commission (SEC) or the Public Company Accounting Oversight Board (PCAOB).
  • Schedule and maintain compliance training and education sessions for team members.
  • Maintain an awareness of current industry regulations, trends and best practices in the field.
  • Ensure that all aspects of the company’s policies are implemented in the workplace to ensure compliance with regulatory requirements.
  • Managing and updating internal policies and procedures.
  • Conducting independent assessments of the effectiveness of current policies and procedures.
  • Investigating or responding to issues that may arise from new policies and procedures.

REQUIREMENTS:

  • Bachelor’s degree in Business Administration, Management, or a related field required; Masters degree preferred.
  • Minimum 5 years management experience required in a similar role; 10 years preferred.
  • Experience with governmental regulation and oversight required; Experience with government investigations preferred.
  • 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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