Compliance Officer

The Compliance Officer ensures that investigations follow the approved process, are lawfully and objectively conducted, are thorough in gathering all material facts and present an accurate accounting of the issues. Conducts investigations of alleged violations of the corporation’s ethical standards or non-compliance with applicable laws, regulations and corporate policy. Being a Compliance Officer recommends proactive measures that will reduce the risk of similar future incidents. Presents clear, concise, and factual reports that enable fair and relevant decisions to be made. In addition, Compliance Officer typically requires a bachelor’s degree. Typically reports to a manager or head of a unit/department. May require a Certified Fraud Examiner (CFE) certification. Being a Compliance Officer contributes to moderately complex aspects of a project. Work is generally independent and collaborative in nature. Working as a Compliance Officer typically requires 4 to 7 years of related experience.

Compliance Officer Job Description Template

Our company is looking for a Compliance Officer to join our team.


  • Provide oversight, guidance and credible challenge for assigned business compliance programs and regulatory compliance risk management activities;
  • Assist team members with ad hoc assignments;
  • Build strong partnerships and collaborate effectively with business, enterprise risk, and legal department partner to drive compliance risk processes;
  • Oversight of regulatory compliance for Enterprise Finance functions within a financial institution;
  • Participate in or lead cross business initiatives to ensure successful implementation of applicable regulatory changes or other required action plans;
  • Knowledge and understanding of regulatory compliance requirements surrounding the financial services industry;
  • Support cross business regulatory examinations and audits as needed;
  • Respond to internal/external audits and regulatory inquiries/examinations;
  • Provide summaries of proposed and final rulemakings to the Management Team and business units;
  • Identify, assess and manage compliance risks across business activities of the company and subsidiaries;
  • Proactively involve in the development and implementation of adequate compliance controls to new business initiatives and products;
  • Develop, maintain, and update policies and procedures for the company’s North America Compliance Program and its related activities;
  • Supports compliance testing, internal and external audits and regulatory exams and inquiries;
  • Manage effective due diligence and monitoring program to third parties and vendors;
  • Respond to compliance inquiries from both internal and external members, within given time frames and within established policy.


  • Thrives in a collaboration in a highly environment, engages and works effectively with business executives;
  • 2 – 4 years of relevant compliance experience within the alternative asset management space; bachelors degree;
  • Advancing a culture of integrity and excellence;
  • Promoting high standards;
  • Maintaining effective compliance and risk management programs;
  • Multitasking skills;
  • Strong sense of confidentiality and discretion;
  • Adaptability;
  • Written and verbal communication skills;
  • Self-starter with ability to flourish in high-pressure and evolving environments;
  • At least 18 years of age;
  • Organized, autonomous, and pragmatic with sound judgment;
  • Reliable transportation;
  • Strong written and spoken communication skills, analytical and leadership skills;
  • Open-minded to new technologies and innovation.