Compliance Director Job Description Template

Compliance Director

[Intro Paragraph] Begin your compliance director job description with a concise paragraph or list of items designed to sell your workplace to applicants. Are you an industry leader, a known brand with worldwide reach, or a fast-paced young startup developing cutting-edge tech in a creative workspace? Whatever makes your workplace special should be highlighted near the top of your job post. This is also a great place to talk about your philosophy toward work-life balance, career advancement opportunities, and other aspects of your organization.

Compliance Director Job Responsibilities: In this section, you’ll want to use a bulleted list to explain the role’s responsibilities in order of importance, as illustrated below:

• Accomplishes financial reporting compliance objectives by leading compliance staff and communicating and enforcing values, policies, and procedures to direct reports, colleagues, and other stakeholders.
• Protects assets by tracking applicable laws and regulations that affect financial reporting and anticipating emerging compliance trends, including cybersecurity.
• Establishes compliance standards and designs improvements to internal control structures.
• Minimizes legal risks by understanding current and proposed legislation, enforcing regulations, recommending new procedures, and complying with legal requirements.
• Works alongside other senior managers to develop corporate governance guidelines.
• Designs and develops compliance financial strategies by estimating, forecasting, and anticipating requirements, trends, and variances.
• Aligns monetary resources, develops action plans, measures and analyzes results, initiates corrective actions, and minimizes the impact of variances.
• Accomplishes compliance human resource strategies by determining accountabilities and planning, monitoring, appraising, and reviewing job contributions.
• Implements recruitment, selection, onboarding, training, coaching, counseling, disciplinary, and communication programs.
• Plans and reviews compensation strategies.
• Develops compliance organizational strategies by contributing information, analysis, and recommendations to strategic thinking and direction, establishing functional objectives in line with organizational objectives.
• Establishes compliance operational strategies by evaluating trends, establishing critical measurements, accumulating resources, resolving problems, and implementing change.
• Determines production, productivity, quality, and customer-service strategies.
• Helps attract new clients by maintaining state-of-the-art compliance programs.
• Enhances compliance and organization reputation by bringing compliance recognition to the company and providing leadership in the industry.
• Updates job knowledge by participating in educational opportunities, reading professional publications, and participating in professional organizations.

[Work Hours & Benefits] In this section you should aim to sell the position to potential applicants, just like the first section of your compliance director job description sold candidates on your workplace. Highlight the salary range, as well as benefits like professional development, 401(k), and employee saving plans. To ensure that the salary range you mention is in line with similar salaries for compliance directors in your region, use a salary tool that allows you to input job title and location.

Compliance Engineer Skills/Qualifications: Use this section of your compliance director job description to list the required and preferred qualifications you’re seeking in an ideal candidate. If the list gets long, consider breaking it into two separate lists labeled as “required” and “preferred.” Whether you use one list or two, begin with the most important skills you are seeking first, as illustrated below:

• Management and leadership
• Ability to embrace complexity
• Budget development and maintenance
• Requirements analysis
• Operations research
• Ability to develop standards for maintaining legal compliance
• Quality management
• Financial planning and strategy
• Critical thinking and problem-solving skills
• Data analytics skills
• Organization, project management, and strategic planning skills
• Familiarity with process improvement methodology
• Excellent verbal communication and documentation skills
• Attention to detail
• Understanding of regulatory frameworks

Education, Experience, & Licensing Requirements:

• BA or BS in finance, business management, or similar field
• Managerial experience a plus
• 3-5 years relevant work experience in compliance environment, preferably in financial compliance
• International Compliance Association (ICA) certification, Certified Securities Compliance Professional (CSCP)

[Call to Action] Your compliance director job description should finish strong with a call to action that urges applicants to fill out an online application, and/or send a resume, and cover letter to a designated recruiter or hiring manager.