Compliance Director Job Description Template
Our company is looking for a Compliance Director to join our team.
Responsibilities:
- 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).
Requirements:
- 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.