Compliance Officer Job Description

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Compliance Officer

Compliance Officer responsibilities

  • Developing and implementing an effective legal compliance program
  • Proactively auditing processes, practices and documents
  • Educating and training employees

Compliance Officer Job Description Template

Job Brief

We are looking for a Compliance Officer to ensure that our operations and business transactions follow all relevant legal and internal rules. You will also review employees’ work and provide advice on compliance.

To succeed in this role, you should be a reliable professional who is not afraid to speak their mind and stand by their decisions. You should be familiar with risk management and our industry’s standards. If you also have a sharp business acumen, we’d like to meet you.

Your goal will be to ensure we operate in a legal and ethical manner while meeting our business objectives.


  • Develop and implement an effective legal compliance program
  • Create sound internal controls and monitor adherence to them
  • Draft and revise company policies
  • Proactively audit processes, practices and documents to identify weaknesses
  • Evaluate business activities (e.g. investments) to assess compliance risk
  • Collaborate with external auditors and HR when needed
  • Set plans to manage a crisis or compliance violation
  • Educate and train employees on regulations and industry practices
  • Address employee concerns or questions on legal compliance
  • Keep abreast of internal standards and business goals


  • Proven experience as a Compliance Officer or Compliance Manager
  • Experience in risk management
  • Knowledge of legal requirements and controls (e.g. Anti-Money Laundering, or AML)
  • Familiarity with industry practices and professional standards
  • Excellent communication skills
  • Integrity and professional ethics
  • Business acumen
  • Teamwork skills
  • Attention to detail
  • BSc/BA in law, finance, business administration or a related field
  • Professional certification (e.g. Certified Compliance & Ethics Professional (CCEP)) is a plus

Compliance Officer Job Description Examples

Compliance Officer II (Athletics) • Prairie View A&M University

Job TitleCompliance Officer II (Athletics...AgencyPrairie View A&M University


Proposed Minimum Salary$4,848.59 monthly

Job LocationPrairie View, Texas

Job TypeStaff

Job Description

This position will support Athletics Compliance related functions. Monitors and facilitates compliance with federal, state, and Texas A&M University System (TAMUS) regulatory and go...

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Compliance Officer • Deutsche Bank AG

Compliance Officer – Origination & Advisory - Vice President

Job ID: R0181107 Full/Part-Time: Full-time...

Regular/Temporary: Regular Listed: 2022-04-21

Location: New YorkPosition Overview Job Title: Compliance Officer – Origination & Advisory

Corporate Title: Vice President

Location: New York, NY


You will focus on providing real-time support to the Origination & Advisory Cover...

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Director/Deputy Chief Compliance Officer • The University of Kansas

Position OverviewThe Office of Audit, Risk & Compliance (OARC) provides leadership and university -wide services that strengthen accountability, mitigate significant risks, investigate and resolve allegations, and reduce the consequences of non-compliance with federal and state laws. Reporting to the Associate Vice Chancellor Integrity & Compliance/ Chief Compliance Officer, the Deputy Chief......

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Compliance Officer - Dynamic Environment • AppleOne

This Compliance Officer Position Features:• Dynamic Environment• Good Benefits...• Growing Opportunities• Great Pay to $40K

Immediate need for compliance officer seeking dynamic environment, good benefits and growing opportunities. ISO regulations knowledge, GMP experience and quality experience will be keys to success in this growing, dynamic organization. Will be responsible for quality ...

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