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Title
Text copied to clipboard!Regulatory Compliance Analyst
Description
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We are looking for a detail-oriented Regulatory Compliance Analyst to ensure our company adheres to legal standards and in-house policies. You will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters. A great Regulatory Compliance Analyst is well-versed in legal guidelines and corporate governance best practices. They are professionals of high ethical standards and work diligently to complete their duties keeping in mind the objectives of the business. You must be comfortable saying 'no' when necessary and be result-oriented. If you are patient and like to work with a variety of departments and teams, we would like to meet you.
Responsibilities
Text copied to clipboard!- Develop and implement company policies and regulations.
- Understand and apply regulatory standards.
- Work with corporate attorneys to ensure compliance with all applicable laws.
- Conduct audits and reviews to ensure execution of compliance standards.
- Prepare and present clear and concise compliance reports to the team.
- Interact with regulators on compliance issues.
- Assist in gathering information requested by regulatory agencies.
- Monitor compliance systems to ensure their effectiveness.
- Identify compliance issues that require follow-up or investigation.
- Disseminate written policies and procedures related to compliance activities.
Requirements
Text copied to clipboard!- Proven experience as a Compliance Officer or Compliance Manager.
- Familiarity with industry practices and professional standards.
- Excellent communication skills.
- Integrity and professional ethics.
- Business acumen.
- Teamwork skills.
- Attention to detail.
- Professional certification (e.g. Certified Compliance & Ethics Professional (CCEP)) is a plus.
- Bachelor’s degree in law, finance, business management or a related field.
- Knowledge of legal requirements and controls (e.g. Anti-Money Laundering, or AML).
Potential interview questions
Text copied to clipboard!- How do you stay updated on the latest industry regulations?
- Can you describe a time when you had to enforce a policy with which you didn't agree?
- How do you handle employees who resist following compliance procedures?
- What steps do you take to ensure a company is complying with all laws and regulations?
- What is the most challenging aspect of ensuring a company stays compliant?