Compliance Manager Job Description

The following is a sample job description for a Compliance Manager 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 Manager is responsible for ensuring that the company is compliant with all applicable laws, regulations, and industry standards. The Compliance Manager works closely with the CEO, CFO, and other senior-level executives to set up policies and procedures that help ensure that all employees are following these rules. They also serve as a resource for other employees who have questions about compliance.

Additional compliance resume strategies for this can be found here. 

FUNCTIONAL DUTIES:

• Monitoring current compliance standards and trends in the industry.
• Identifying potential legal issues before they become problems.
• Creating and implementing policies to meet these requirements.
• Assisting in the development of policies related to ethics and compliance.
• Ensuring that all employees complete training required by law.
• Acting as a point of contact for questions about ethics and compliance issues.
• Identifies any gaps in compliance policies or procedures, and works alongside the legal team to develop solutions for these gaps.
• Maintain internal controls and conduct periodic audits of your team’s processes to ensure they’re in line with industry standards.

REQUIREMENTS:

• Bachelor’s degree in Accounting or Finance.
• 3-5 years of compliance experience in a similar role.
• 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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