Compliance Director

Compliance Director Job Description Template

Our company is looking for a Compliance Director to join our team.


  • Provide effective support on all compliance matters to all stakeholders in conjunction with the support functions of HR, Finance, Legal and IT;
  • Provide compliance reviews and direction for new and expanding products and services;
  • Communicate detailed requirements to line of business, validate solution approach and monitor status;
  • Respond to issues and matters pertaining to regulatory compliance of FIS products, services and business activities;
  • Oversee development and implementation of compliance program policies and standards as well as addressing other required regulatory policies;
  • Monitor line of business compliance activities to verify that regulatory compliance deadlines and requirements are met;
  • Conduct compliance assessments and provide direction on any deficiencies detected by those assessments;
  • Establish and maintain an effective company-wide compliance programme including policies, procedures, internal controls, monitoring and training;
  • Advise on an on-going basis of the impact of regulations and the required action;
  • Investigate major complaints to the regulators/authorities; ensure fair and timely resolution;
  • Design and deploy processes to validate FIS products, services and business activities meet all applicable regulatory requirements;
  • Develop, modify and execute company policies that affect immediate operations;
  • Deploy nationwide training, embedding the message, measuring and reporting on performance in relation to key compliance metrics;
  • Review the impact of AML and CFT regulation and the required action, ensuring Due Diligence procedures are in line with regulation;
  • Review of company documentation (websites, emails, landing pages, texts).


  • Compliance Director;
  • Compliance;
  • Quality Assurance;
  • Compliance Officer;
  • Compliance Monitoring;
  • Senior Compliance Manager;
  • Compliance Manager;
  • Experience in producing training materials and delivering face to face training in a business – focused and engaging way;
  • Compliance Procedures;
  • A compliance generalist: this role may be a step up or alternatively a chance for someone to deploy their significant experience in a new setting;
  • People management;
  • compliance generalist;
  • buy side;
  • A commercially focused approach combined with an ability to simplify things and effectively collaborate to develop solutions.