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Title
Text copied to clipboard!Compliance Analyst
Description
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We are looking for a diligent Compliance Analyst to join our team and help us ensure that our operations and business transactions follow all relevant legal and internal guidelines. Your duties will include reviewing employee work, developing company policies, and responding to policy violations. The ideal candidate will be professional, highly-analytical, and possess excellent written and verbal communication skills. You will work across departments to ensure compliance with state, federal, and international laws, as well as internal policies and procedures. You will also be responsible for conducting audits and reviews to ensure compliance with regulatory standards, identifying risks or non-conformity issues, and developing risk management strategies. This role requires staying up-to-date with industry changes and evolving guidelines in order to advise on necessary updates to company policies and procedures. Your goal will be to ensure we operate in a legal and ethical manner while meeting our business objectives.
Responsibilities
Text copied to clipboard!- Review and evaluate company procedures and reports to identify hidden risks or non-conformity issues.
- Develop and implement a compliance program to ensure the organization operates in accordance with state, federal, and international laws.
- Advise management on the company’s compliance with laws and regulations through detailed reports.
- Assess company operations to determine compliance risk.
- Ensure all employees are educated on the latest regulations and processes.
- Resolve employee concerns about legal compliance.
- Audit company procedures, practices, and documents to identify possible weaknesses or risk.
- Assess company operations to determine compliance risk.
- Prepare and present reports that reflect audit results and document process.
- Follow up on compliance issues that require investigation.
Requirements
Text copied to clipboard!- Bachelor’s degree in law, finance, business management or a related field.
- Proven experience as a Compliance Analyst, Compliance Officer, or similar role.
- 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.
- Attention to detail.
- Business acumen.
- Teamwork skills.
- Analytical skills and a good eye for detail.
Potential interview questions
Text copied to clipboard!- Can you describe a time when you identified a compliance issue and how you resolved it?
- How do you stay updated with changes in compliance regulations?
- What strategies would you use to ensure all employees are aware of and understand compliance policies?
- Describe your experience with conducting compliance audits.
- How would you handle a situation where a company executive is resistant to implementing necessary compliance changes?