[Intro Paragraph] Begin your compliance analyst job description with a concise paragraph or list of bulleted items designed to sell your workplace to applicants. Are you an industry leader working on cutting-edge technology, a known brand with worldwide reach and lots of opportunity for advancement, 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, community service and engagement, or career development and advancement.
Compliance Analyst 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:
- Maintains legal and regulatory compliance by researching and communicating requirements and obtaining approvals.
- Researches regulations by reviewing regulatory bulletins and other sources of information.
- Compiles information by coordinating rate deviation filings, maintaining updated rate matrices, and providing overviews of product disclosures.
- Keeps other departments abreast of requirements by researching regulatory and filing information and by writing and communicating guidelines.
- Obtains approvals by revising forms and rates.
- Prepares reports by collecting, analyzing, and summarizing information.
- Maintains rapport with regulatory personnel by arranging continuing contacts and resolving concerns.
- Maintains quality service by establishing and enforcing organization standards.
- Maintains professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks, benchmarking state-of-the-art practices, and participating in professional societies.
- Contributes to team effort by accomplishing related results as needed.
[Work Hours & Benefits] In this section you should aim to sell the position to potential applicants, just like the first section of your compliance analyst 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 salaries for similar roles in your region, use a salary tool that allows you to input job title and location.
Compliance Analyst Skills and 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:
- Understanding of regulatory frameworks
- Requirements analysis
- Knowledge of Statement of Financial Accounting Standards (SFAS)
- Operations research
- Ability to develop standards to maintain 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
- Attention to detail
- Ability to embrace complexity
- Communication and presentation skills
- General math skills
Education, Experience, & Licensing Requirements:
- BA or BS in finance, business management, or similar field
- 3-5 years relevant work experience in a compliance environment
- International Compliance Association (ICA) certification or Certified Securities Compliance Professional (CSCP)
[Call to Action] Your compliance analyst 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.
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