Compliance Officer (225-909)

A Compliance Officer plays a critical role in ensuring that an organization adheres to legal standards and in-house policies. They are responsible for enforcing regulations in all aspects and levels of business as well as providing guidance on compliance matters. The primary aim of a Compliance Officer is to protect the organization’s integrity by ensuring that it operates within the law and meets all regulatory requirements. Persons in this role must have a thorough knowledge of compliance and risk management frameworks as well as strong analytical skills to identify potential compliance issues. Furthermore, they should demonstrate ethical leadership and an ability to influence staff behavior toward organizational goals and ethical conduct. An effective Compliance Officer is a strategic thinker who can translate complex regulations into actionable plans that benefit the organization and safeguard its reputation.

Responsibilities

• Develop and implement an effective legal compliance program across the organization.
• Create sound internal controls and monitor adherence to them within the company.
• Draft, modify, and implement company policies in accordance with legal guidelines.
• Oversee and manage the compliance audit processes and procedures for effectiveness.
• Advise executives on strategies to minimize risk and ensure regulatory compliance.
• Review marketing materials, presentations, and websites to ensure compliance with industry regulations.
• Provide training to employees on compliance-related topics, policies, or procedures.
• Maintain tracking records of compliance audits, inspections, and remedied issues.
• Investigate violations of internal policies and regulations thoroughly and ethically.
• Assist in the organization’s development of compliance initiatives to foster ethical conduct.
• Prepare and present detailed reports to senior-level executives and the board.
• Stay up to date with new and emerging regulations that could impact the company.

Requirements

• Proven experience as a Compliance Officer or in a similar compliance role.
• Bachelor’s degree in law, business administration, finance, or a related field.
• In-depth knowledge of the industry’s standards and regulations is essential.
• Excellent analytical skills to interpret complex regulations and guidelines.
• Strong communication skills for effectively presenting information and persuading stakeholders.
• Ability to work independently and manage multiple projects simultaneously.
• Attention to detail and a keen eye for identifying complex compliance issues.