Corporate compliance officer job description
Updated March 14, 2024
10 min read
Find better candidates in less time
Post a job on Zippia and take the best from over 7 million monthly job seekers.
Example corporate compliance officer requirements on a job description
Corporate compliance officer requirements can be divided into technical requirements and required soft skills. The lists below show the most common requirements included in corporate compliance officer job postings.
Sample corporate compliance officer requirements
- Knowledge of local and federal laws and regulations
- Familiarity with industry-specific compliance requirements
- Experience conducting internal audits and risk assessments
- Strong analytical and problem-solving skills
- Excellent written and verbal communication skills
Sample required corporate compliance officer soft skills
- Ability to work collaboratively with different departments
- Strong leadership and managerial skills
- Ability to maintain confidentiality and handle sensitive information
- Excellent organizational and time management skills
- Proactive and self-motivated with a strong attention to detail
Corporate compliance officer job description example 1
Icma-rc corporate compliance officer job description
Be at a great place to work with MissionSquare Retirement, a FINANCIAL SERVICES LEADER in public sector employee retirement products and services. Headquartered in Washington, DC, MissionSquare Retirement was founded to provide portable retirement benefits for city and county managers, enabling accumulated retirement assets to be transferred between employers. Today, MissionSquare Retirement serves more than 1.5 million participant accounts, and more than 9,000 retirement plans across the country. We have an extraordinary talent base and invite you to consider joining MissionSquare Retirement's Corporate Affairs Team.
Responsible for helping to ensure that MissionSquare Retirement's regulated entities operate in compliance with applicable securities laws, rules and regulations of self-regulatory agencies and internal policies and procedures of MissionSquare Retirement. Responsibilities will include assisting in the development, maintenance, oversight and testing of the compliance policy and procedural framework.
Essential Functions for this role include:
Develop, implement, monitor, and report on internal compliance systems and processes designed to reasonably ensure compliance with applicable securities laws and rules of self-regulatory agencies. Conduct compliance reviews in regulated entities as necessary to evaluate and test for compliance with applicable rules and regulations, policies and procedures. Provide written reports of findings. Maintain and operate internal compliance functions including but not limited to: i) Code of Ethics and Insider Trading Policy of MissionSquare Retirement; ii) Form BD, ADV and state registrations filings; iii) marketing materials compliance; iv) branch office review and oversight; and v) in coordination with Human Resources, compliance training and education and the annual training plan for MissionSquare Retirement. Maintain and update as necessary compliance and supervisory manuals and internal Compliance Department policies and procedures. In consultation with manager, develop and recommend workable action plans for correcting material weaknesses identified in compliance policies and procedures. Keep abreast of changes and new developments in the financial services industry and the impacts these changes have on compliance policies and procedures.
If you have the following credentials, we encourage you to apply:
Prior work experience in investment company, investment adviser, broker/dealer or other financial services organization. Knowledge and experience with Federal and State securities laws and rules and regulations of self-regulatory organizations. Knowledge of Federal Securities Laws, rules of self-regulatory agencies and internal policies and procedures governing mutual funds, investment advisers and broker/dealers is necessary. Results oriented with the ability to work independently and make sound decisions on the basis of available information. Capable of working effectively with all levels of staff and develop collaborative relationships. Excellent written and oral communications skills. Ability to interact effectively with external "clients" including regulatory authorities, vendors, and others. Above average computer skills set and ability to work with multiple applications. Solid research and interpretive skills
To benefit your career and support your wellbeing, we offer:
Competitive Total Rewards (compensation and benefits) package, including 401(k) Plan with matching contributions Varied incentive plans Flexible/Hybrid work schedules Wellness programs Tuition reimbursement Professional and career development courses Mentoring programs Volunteerism program
As a company, MissionSquare Retirement is an Equal Opportunity Employer. We strive to create an environment that reflects the value and diversity of our employees and fosters respect among them. We believe that talent from diverse backgrounds will further enhance our ability, and mission, to serve those who serve their communities.
Positions at this location require a COVID-19 vaccination. Offers of employment are conditioned upon the successful candidate providing proper proof of vaccination status prior to employment and pursuant to applicable law.
Responsible for helping to ensure that MissionSquare Retirement's regulated entities operate in compliance with applicable securities laws, rules and regulations of self-regulatory agencies and internal policies and procedures of MissionSquare Retirement. Responsibilities will include assisting in the development, maintenance, oversight and testing of the compliance policy and procedural framework.
Essential Functions for this role include:
Develop, implement, monitor, and report on internal compliance systems and processes designed to reasonably ensure compliance with applicable securities laws and rules of self-regulatory agencies. Conduct compliance reviews in regulated entities as necessary to evaluate and test for compliance with applicable rules and regulations, policies and procedures. Provide written reports of findings. Maintain and operate internal compliance functions including but not limited to: i) Code of Ethics and Insider Trading Policy of MissionSquare Retirement; ii) Form BD, ADV and state registrations filings; iii) marketing materials compliance; iv) branch office review and oversight; and v) in coordination with Human Resources, compliance training and education and the annual training plan for MissionSquare Retirement. Maintain and update as necessary compliance and supervisory manuals and internal Compliance Department policies and procedures. In consultation with manager, develop and recommend workable action plans for correcting material weaknesses identified in compliance policies and procedures. Keep abreast of changes and new developments in the financial services industry and the impacts these changes have on compliance policies and procedures.
If you have the following credentials, we encourage you to apply:
Prior work experience in investment company, investment adviser, broker/dealer or other financial services organization. Knowledge and experience with Federal and State securities laws and rules and regulations of self-regulatory organizations. Knowledge of Federal Securities Laws, rules of self-regulatory agencies and internal policies and procedures governing mutual funds, investment advisers and broker/dealers is necessary. Results oriented with the ability to work independently and make sound decisions on the basis of available information. Capable of working effectively with all levels of staff and develop collaborative relationships. Excellent written and oral communications skills. Ability to interact effectively with external "clients" including regulatory authorities, vendors, and others. Above average computer skills set and ability to work with multiple applications. Solid research and interpretive skills
To benefit your career and support your wellbeing, we offer:
Competitive Total Rewards (compensation and benefits) package, including 401(k) Plan with matching contributions Varied incentive plans Flexible/Hybrid work schedules Wellness programs Tuition reimbursement Professional and career development courses Mentoring programs Volunteerism program
As a company, MissionSquare Retirement is an Equal Opportunity Employer. We strive to create an environment that reflects the value and diversity of our employees and fosters respect among them. We believe that talent from diverse backgrounds will further enhance our ability, and mission, to serve those who serve their communities.
Positions at this location require a COVID-19 vaccination. Offers of employment are conditioned upon the successful candidate providing proper proof of vaccination status prior to employment and pursuant to applicable law.
Post a job for free, promote it for a fee
Corporate compliance officer job description example 2
Regency Health Services Inc corporate compliance officer job description
The Corporate Compliance Officer leads the Corporate Compliance Team practices and objectives to yield high performance within the organization that emphasizes excellence in the delivery of healthcare focused on a patient- centered culture.
Essential Functions
1. Leads the Corporate Compliance team by formulating strategies to promote compliance with all corporate and facility policies and federal, state and local laws and regulations
2. Leads in the development of best compliance practices.
3. Leads, researches and teaches compliance practices.
4. Leads the process of developing teaching and training curriculum.
5. Reviews and evaluates the facilities' complaints, surveys, and investigations.
6. Reviews and analyzes past and current survey reports for patterns of deficient practices and alerts senior executives of trends.
7. Reviews, audits and evaluates facilities' employee personnel files and reports on compliance matters.
8. Conduct random interviews with facilities' employees and residents to determine compliance with corporate and facility policies and federal, state and local laws and regulations
9. Reviews and evaluates resident care systems to gauge compliance with industry practices, federal, state and local laws and regulations
10. The Corporate Compliance Officer coordinates implementation of policies and procedures to promote compliance with corporate policies, federal, state and local laws and regulations; reports to the RNRC Compliance Program, Inc. (RNRCCPI) Board of Directors. RNRCCPI is an entity related to Regency Post-Acute Healthcare System. It provides independent services to facilities managed by Regency Post-Acute Healthcare System consisting of auditing, monitoring, teaching, and advising in the areas of regulatory compliance, employment practices, corporate governance, billing practices, and other compliance and regulatory matters.
Qualifications
The Corporate Compliance Officer is expected to be knowledgeable in Skilled Nursing Facility Regulations; have demonstrated ability to see the big picture and provide strategic advice and input across the company, including senior executive team; ability to lead in an environment of constant change; high level of practical skills in skilled nursing facility operations, regulatory compliance and corporate practices and policies.
Highly preferred to reside in Texas.
Essential Functions
1. Leads the Corporate Compliance team by formulating strategies to promote compliance with all corporate and facility policies and federal, state and local laws and regulations
2. Leads in the development of best compliance practices.
3. Leads, researches and teaches compliance practices.
4. Leads the process of developing teaching and training curriculum.
5. Reviews and evaluates the facilities' complaints, surveys, and investigations.
6. Reviews and analyzes past and current survey reports for patterns of deficient practices and alerts senior executives of trends.
7. Reviews, audits and evaluates facilities' employee personnel files and reports on compliance matters.
8. Conduct random interviews with facilities' employees and residents to determine compliance with corporate and facility policies and federal, state and local laws and regulations
9. Reviews and evaluates resident care systems to gauge compliance with industry practices, federal, state and local laws and regulations
10. The Corporate Compliance Officer coordinates implementation of policies and procedures to promote compliance with corporate policies, federal, state and local laws and regulations; reports to the RNRC Compliance Program, Inc. (RNRCCPI) Board of Directors. RNRCCPI is an entity related to Regency Post-Acute Healthcare System. It provides independent services to facilities managed by Regency Post-Acute Healthcare System consisting of auditing, monitoring, teaching, and advising in the areas of regulatory compliance, employment practices, corporate governance, billing practices, and other compliance and regulatory matters.
Qualifications
The Corporate Compliance Officer is expected to be knowledgeable in Skilled Nursing Facility Regulations; have demonstrated ability to see the big picture and provide strategic advice and input across the company, including senior executive team; ability to lead in an environment of constant change; high level of practical skills in skilled nursing facility operations, regulatory compliance and corporate practices and policies.
Highly preferred to reside in Texas.
Dealing with hard-to-fill positions? Let us help.
Corporate compliance officer job description example 3
Wells Fargo corporate compliance officer job description
About this role:
Wells Fargo is seeking a Lead Compliance Officer in Compliance, Controls, and Infrastructure as part of Corporate and Investment Banking Compliance. This person will develop Compliance policies, guidance, oversight and monitoring procedures and activities related to one or more regulatory compliance subject matters. This person will develop and implement Compliance oversight and monitoring activities for execution by the horizontal Compliance function, as well as, the Business-Aligned Compliance Officer function. Within the assigned coverage areas, this person will represent CIB Compliance in Front Line and Independent Risk Management stakeholder engagements. This person will also develop and lead a Compliance Community of Practice that serves as a forum to engage and share developments on guidance, risks, and issues within the assigned coverage area.
In this role, you will:
* Provide oversight and monitoring of business group risk based compliance programs
* Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines
* Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
* Design, build, and execute Compliance monitoring activities in accordance with internal Compliance policies
* Serve as dedicated, Compliance Subject Matter Expert (SME) for certain, Compliance-owned policies
* As the dedicated Compliance SME to certain Compliance-owned policies, develop and provide guidance on Major Compliance Requirements (MCRs); produce user-friendly resource materials that serve as guidance for evaluating applicability of requirements to activities, functions/roles, and expected controls
* Oversee the Front Line's execution and challenges appropriately on compliance related decisions
* Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
* Provide direction to the business on developing corrective action plans and effectively managing regulatory change
* Report findings and make recommendations to management and appropriate committees
* Identify and recommend opportunities for process improvement and risk control development
* Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
* Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
* Oversee the Front Line's execution and challenges appropriately on compliance related decisions
* Make decisions and resolve issues to meet business objectives
* Interpret policies, procedures, and compliance requirements
* Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
* Work with complex business units, rules and regulations on moderate to high risk compliance matters
* Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics
Required Qualifications:
* 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
* Experience with Recovery and Resolution Planning related regulations such as Qualified Financial Contracts (QFC) Recordkeeping and Qualified Financial Contracts (QFC) Resolution Stay
* Experience with Volcker, Reg W/O/K, Conduct-based Compliance policies and associated regulations
* Experience serving as Compliance SME for regulatory topics and associated Compliance policies
* Ability to turn preliminary or ambiguous information, ideas, or problems into well defined plans for action or otherwise recommendations
* Ability to develop partnerships and collaborate with other business and functional areas as well as peers and team members
* Ability to organize and delegate work to others
* A BS/BA degree or higher
* Financial services industry experience
* Ability to cover multiple subject areas
* Ability to build rapport and influence change with Compliance managers and key stakeholders
* Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Job Expectations:
* Willingness to work on-site at stated location on the job opening
We Value Diversity
At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Wells Fargo is seeking a Lead Compliance Officer in Compliance, Controls, and Infrastructure as part of Corporate and Investment Banking Compliance. This person will develop Compliance policies, guidance, oversight and monitoring procedures and activities related to one or more regulatory compliance subject matters. This person will develop and implement Compliance oversight and monitoring activities for execution by the horizontal Compliance function, as well as, the Business-Aligned Compliance Officer function. Within the assigned coverage areas, this person will represent CIB Compliance in Front Line and Independent Risk Management stakeholder engagements. This person will also develop and lead a Compliance Community of Practice that serves as a forum to engage and share developments on guidance, risks, and issues within the assigned coverage area.
In this role, you will:
* Provide oversight and monitoring of business group risk based compliance programs
* Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines
* Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
* Design, build, and execute Compliance monitoring activities in accordance with internal Compliance policies
* Serve as dedicated, Compliance Subject Matter Expert (SME) for certain, Compliance-owned policies
* As the dedicated Compliance SME to certain Compliance-owned policies, develop and provide guidance on Major Compliance Requirements (MCRs); produce user-friendly resource materials that serve as guidance for evaluating applicability of requirements to activities, functions/roles, and expected controls
* Oversee the Front Line's execution and challenges appropriately on compliance related decisions
* Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
* Provide direction to the business on developing corrective action plans and effectively managing regulatory change
* Report findings and make recommendations to management and appropriate committees
* Identify and recommend opportunities for process improvement and risk control development
* Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
* Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
* Oversee the Front Line's execution and challenges appropriately on compliance related decisions
* Make decisions and resolve issues to meet business objectives
* Interpret policies, procedures, and compliance requirements
* Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
* Work with complex business units, rules and regulations on moderate to high risk compliance matters
* Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics
Required Qualifications:
* 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
* Experience with Recovery and Resolution Planning related regulations such as Qualified Financial Contracts (QFC) Recordkeeping and Qualified Financial Contracts (QFC) Resolution Stay
* Experience with Volcker, Reg W/O/K, Conduct-based Compliance policies and associated regulations
* Experience serving as Compliance SME for regulatory topics and associated Compliance policies
* Ability to turn preliminary or ambiguous information, ideas, or problems into well defined plans for action or otherwise recommendations
* Ability to develop partnerships and collaborate with other business and functional areas as well as peers and team members
* Ability to organize and delegate work to others
* A BS/BA degree or higher
* Financial services industry experience
* Ability to cover multiple subject areas
* Ability to build rapport and influence change with Compliance managers and key stakeholders
* Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Job Expectations:
* Willingness to work on-site at stated location on the job opening
We Value Diversity
At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Start connecting with qualified job seekers
Resources for employers posting corporate compliance officer jobs
Average cost of hiring
Recruitment statistics
How to write a job description
Examples of work conditions
Corporate compliance officer job description FAQs
Ready to start hiring?
Updated March 14, 2024
Updated March 14, 2024