Advisor, Compliance (Compliance Dept.)



Job Purpose

Provide professional, efficient and high quality support to the Compliance Management and advice on key elements of the company’s risk management and compliance framework. Research, analyse, and reporting of new and revised laws and regulations for business impact and complete risk assessments

Job Specific Accountabilities

• Conduct and analyse complex compliance reviews to identify irregularities and ensure compliance with organizational and regulatory rules and regulations.
• Monitor all aspects of changes in state or federal laws and regulations to ensure awareness of actual and pending changes in each area of compliance.
• Consult with management in the development of corporate policies and procedures to ensure compliance with relevant laws, rules and regulations.
• Assist in the development of a risk management program related to compliance.
• Compile and research emerging issues, recent industry enforcement actions, and industry news to gage the direction of current industry issues and present information to compliance management team.
• Review and analyse regulatory changes; prepares advisory memos to keep management and business informed on regulatory changes and developing issues.
• Review various compliance policies related to assigned business unites.  Ensure policies, procedures and business controls are implemented and/or revised as needed.
• Gather and analyse data to use as risk indicators.  Prepare presentations to communicate trends and direction of compliance risks. Collaborate with others to provide timely and customized communications regarding regulatory risk.
• Lead and/or participate on projects as they relate to regulatory changes, system enhancements, or changes to business practices. 
• Coordinate and complete project plans to meet updated compliance expectations.  Prepare reports for leadership regarding status of compliance projects, compliance risk, changes to the compliance landscape, and emerging issues.
• Involve and support the annual compliance risk assessment.
• Provide compliance input on business action plans, projects or operational requests. Identify outstanding compliance issues and coordinates proper implementation of business requirements.
• Provide guidance, technical assistance, counseling and training to the business on compliance management matters

Minimum Qualification

 Bachelor degree in Business, Accounting or Finance or other relevant qualification

Minimum Experience, Knowledge & Skills

10 years of experience in Compliance Management.

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