Compliance Officer Job Description Sample

Find below a sample job description template for the position of Compliance Officer:

Company: _____________________

Job Title: Compliance Officer

Location of the Job: Chicago, IL 60606

Job Type: Full Time Employee

Job Description:

Due to recent growth, Compliance Coach, Inc.​ is seeking several Compliance Officers to add to its team of subject matter experts.

Position Requirements:

  • Ability to work independently and with minimal supervision
  • Willingness to learn new things
  • Inquisitiveness, creativity and persistence
  • Outstanding writing skills
  • Strong Internet research skills
  • Ability to extract compliance requirements directly from primary sources, such as the Code of Federal Regulations, Federal Register notices, and statutes
  • Substantive knowledge of consumer and BSA/​AML compliance laws and regulations
  • 3+​ years experience conducting risk-based compliance and BSA/​AML reviews, either within internal audit or the compliance department of a complex banking organization or as an examiner or consultant serving such organizations

Duties and Responsibilities:

  • Ensure operating units’ timely implementation of compliance recommendations
  • Write compliance review reports containing findings and recommendations with a view to strengthening controls, as necessary
  • Conduct on-site compliance reviews, determining the appropriate mix of process-oriented compliance work and data testing
  • Conduct pre-review work with operating units so that stakeholders understand both the purpose of the review and the review methodology
  • Create and distribute planning memoranda in advance of on-site review work
  • Risk assess Ratings Services operating units with a view to prioritizing on-site compliance reviews

Salary: 750.00 – 900.00 USD /week

Contact Information:

[Contact Person]

Phone: ______________________

Fax: ________________________

E-mail: ______________________