Compliance Manager Job Description Template

Compliance Manager Job Description

[Intro Paragraph] Begin your compliance manager 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 large financial firm with worldwide reach and lots of opportunities for advancement, or a young startup on the rise? 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, and career development and advancement.

Compliance Manager Job Responsibilities: In this section, you’ll list the job functions that pertain to the area of compliance your firm needs. 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, environmental protection, or diversity, equity, and inclusion (DEI).
• Establishes compliance standards and designs improvements to internal control structures.
• Avoids legal challenges by understanding current and proposed legislation, enforcing regulations, recommending new procedures, and complying with legal requirements.
• Works alongside other senior management colleagues 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 as well as workplace safety.
• 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 and 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 as the first section of your compliance manager job description sold candidates on your workplace. Highlight the salary range, as well as benefits like professional development, 401(k), and employee saving plans. Since compensation for these roles can vary as widely as educational and certification requirements, you may want to begin your salary research by using a salary tool that takes into consideration job title and location and then do a deeper dive into salary and benefits expectations by area of expertise (finance, law, engineering, etc.).

Compliance Manager Skills/Qualifications: Use this section of your compliance manager 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 and make sure you adjust for the type of compliance manager you are seeking (finance, cybersecurity, manufacturing, etc.), as illustrated below:

• Management and leadership skills
• Requirements analysis
• Operations research
• 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, engineering, or science
• Managerial experience a plus
• 3-5 years of relevant work experience in a compliance environment
• For finance, International Compliance Association (ICA) or Certified Securities Compliance Professional (CSCP) certification
• For workplace safety, Occupational Health and Safety Technologist (OHST) or Certified Safety Professional (CSP) certification
• For environmental compliance, Registered Environmental Manager (ERM) or Certified Environmental Specialist (CES) certification
• For cybersecurity compliance, Certified Information Systems Security Professional (CISSP) or Certified Information Systems Auditor (CISA) certification

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