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Compliance Officer - Risk Assessment

  • Location: New York, NY
  • Job Type: Full Time
  • Ref No: 18-01017
  • Date: February 09, 2018
  • Job title:

Michael Ziegelbaum

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Job Description - Compliance Officer - Risk Assessment

Compliance Officer

Basic Function

  • Ensure that operations and business transactions follow all relevant legal and internal rules. Review employees' work and provide advice on compliance.
  • The Compliance Officer must be a reliable professional who is accustomed to speaking candidly and standing by their decision. They must be familiar with risk management and our industry's standards.

Responsibilities

  • Perform risk assessments to understand the level, significance and scope of risk
  • Develop and implement an effective legal compliance program
  • Keep up to date with, and understand, relevant laws and regulations
  • Monitor compliance with laws, regulations and internal policies
  • Proactively audit processes, practices and documents to identify weaknesses
  • Ensure that your findings are recorded and followed up with management so that issues can be rectified
  • Educate employees on not only the regulations but also the impact to the organization if these are not complied with.
  • Investigate irregularities and non-compliance issues
  • Review marketing materials, presentations and websites to ensure compliance with regulatory requirements
  • Create sound internal controls and monitor adherence to them
  • Draft and revise company policies



 




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