Regulatory Compliance Analyst Role Overview
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- Category: Paralegal and Legal Services > Compliance and Risk Management
Summary
A Regulatory Compliance Analyst is responsible for ensuring that a company adheres to all relevant laws, regulations, and industry standards. This role involves monitoring regulatory changes, performing compliance risk assessments, developing policies, conducting audits, and providing guidance to internal stakeholders. The analyst acts as a liaison between regulatory agencies and the company to ensure proactive compliance and avoid penalties.
Responsibilities
- Monitor and interpret regulatory requirements applicable to the organization.
- Develop, implement, and maintain compliance policies and procedures.
- Conduct regular compliance risk assessments and internal audits.
- Report and escalate compliance issues and violations, facilitating corrective action plans.
- Liaise with internal teams and regulatory bodies regarding compliance matters.
- Draft, review, and update internal compliance documentation.
- Provide ongoing training and awareness programs for staff.
- Assist in regulatory filings and coordinate external audits.
- Monitor industry trends and emerging regulations that may impact the business.
- Maintain comprehensive records of compliance activities and regulatory communications.
Qualifications and Requirements
- Bachelor’s degree in Law, Business Administration, Finance, or a related field.
- 2-5 years of experience in regulatory compliance, audit, or risk management.
- Knowledge of relevant industry regulations (e.g., SOX, GDPR, HIPAA, FINRA).
- Strong analytical and problem-solving skills.
- Excellent attention to detail and organizational skills.
- Ability to interpret legal and regulatory documents.
- Strong written and verbal communication skills.
- Proficiency in compliance management software and Microsoft Office Suite.
- Professional certification in compliance, risk, or audit (e.g., CRCM, CCEP, CAMS) is a plus.
Skills
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