Compliance Manager Job Description

Finding qualified, reliable individuals to join your staff is an essential step in growing your business. We’re here to make the hiring process as easy as possible for you. In this guide, we’ll cover all of the following:


WHAT TO INCLUDE IN A JOB DESCRIPTION

A good job description should include a company overview and job overview, as well as an explanation of the associated responsibilities, skills & qualifications, and work environment. Below are some general guidelines for writing each of these sections effectively.

1. COMPANY OVERVIEW


Providing an accurate, concise description of your business is a great way to attract the right employees. Think of this section as an advertisement for your company -- why should prospective employees want to join your team?

Some useful things to include here are:

  • Core company values
  • Mission statement
  • Brief history of your organization
  • Anticipated growth
  • Business goals

 

2. JOB OVERVIEW


In a few sentences, describe the purpose, importance, and fundamental qualities of the position being offered. No need to be too specific or comprehensive here -- the idea is to provide a zoomed-out image of the role the applicant would be filling in your company.

3. RESPONSIBILITIES


This is where you’ll outline the specific day-to-day responsibilities of the job. Bullet-point format is typically the most practical way to present this information.

4. NECESSARY SKILLS & QUALIFICATIONS


List in bulleted format the skills & qualifications that are absolutely essential to this position. Consider as many specific conditions of the job as possible in order to create a complete list of qualifications an applicant must have in order to succeed.

5. PREFERRED SKILLS & QUALIFICATIONS


List in bulleted format the skills & qualifications that are not essential, but would make an applicant more eligible for the position being offered.

6. WORK ENVIRONMENT


Describe the environment in which the applicant would be spending most of their time. In this description, include information about:

  • Company culture
  • Pace of work
  • Amount of collaborative vs. independent activity
  • Who the employee will report to (or vice versa)

Compliance Manager Job Description

Below is our compliance manager job description. You can post it as-is to an online job board like ZipRecruiter, or download and customize it to match the unique aspects of your business. Keep in mind that adding a custom company overview and description of the work environment (outlined above) will help you draw in the right applicants.

Compliance Manager Job Description

Job Overview:

Our Compliance Manager enforces the formal regulations and standards that govern our industry. They are responsible for conducting internal audits and noting any actions or attitudes that could potentially lead to legal problems for our company. Our Compliance Manager will develop and implement real-world solutions to both improve our processes and increase our efficiency. They must also stay on top of any new compliance measures coming down the pipeline and prepare accordingly. From the general staff to the CEO, the compliance manager should feel comfortable training and coaching everyone within the organization.

Responsibilities:

  • Design and conduct regular audits to identify any compliance issues
  • Conduct or direct internal investigations to address compliance problems as they arise
  • Assess risks and develop risk management strategies
  • Write educational documents to inform staff of changes in protocol
  • Train, coach, and manage staff so everyone understands their role in compliance
  • Research new regulations and map out plans to comply with their implementation deadlines
  • File all appropriate paperwork with relevant compliance agencies
  • Consult with attorneys and other legal professionals to clarify compliance regulations
  • Serve as a confidential point of contact for reporting questions and concerns
  • Attend conferences to learn more about corporate best practices

Necessary Skills & Qualifications:

  • Bachelor’s degree in finance, business, or a law-related discipline
  • Minimum of three years in a compliance specialist role
  • Strong knowledge of all compliance regulations
  • Outstanding written and verbal communication skills
  • Familiarity with network security principles
  • Experience designing and conducting internal audits
  • Excellent leadership capabilities

Preferred Skills & Qualifications:

  • Master’s degree in finance, business, or a law-related discipline
  • Formal legal training
  • Minimum of one year as a compliance manager
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3 STEPS TO TAKE WHEN HIRING EMPLOYEES

ENSURE LEGAL COMPLIANCE


Hiring employees can be an intimidating and time-consuming process, but it doesn’t have to be. We’ve created a hiring compliance checklist to help you get over the legal hurdles with ease. From obtaining an Employer Identification Number (EIN) to confirming work eligibility, our guide covers everything you need to know.

SET UP PAYROLL


Even if your business only has a few employees, setting up a payroll service can save you time for running your business and also ensure that your company is compliant with important federal requirements, such as employee withholding.

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We recommend Gusto, a user-friendly payroll platform for small businesses. Try out their services and get one month free.

Sign up now

ACQUIRE WORKERS' COMP INSURANCE


Workers’ compensation insurance provides financial and legal protection for your business and its employees.

Whether or not you need workers’ comp insurance for your company depends on the nature of the job, the employer-employee relationship, and the unique regulations of your state.

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Find out how much the right insurance will cost you.

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