Compliance Officer Job Description
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.
Responsibilities
- 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
Requirements
- 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
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Job Description...
Title: Compliance Officer
Department: Operations
Reports To: Director of Operations
Overview:
Performs functions essential to ensuring risk and compliance requirements as set forth by the State, HCUA, NCUA, and other regulatory agencies. Responsible for the development and implementation of credit union policies and procedures to ensure compliance w...