Compliance Officer

Job Summary

The Compliance Officer is responsible for supporting the organization's compliance with all applicable laws, regulations, and the InterSystems code of ethical conduct. This role involves monitoring compliance activities, conducting audits, and investigating potential compliance violations. The Compliance Officer plays a key role in promoting a compliance strategy that aligns with the organization's mission to support both internal and external customers through clear communication, collaboration, and proactive governance.

Responsibilities

• Monitoring and Enforcement:
  • Monitor the organization’s adherence to compliance policies and procedures.
  • Conduct regular audits to ensure compliance with regulatory requirements and the InterSystems code of ethical conduct.
• Investigation and Resolution:
  • Investigate potential compliance violations and recommend corrective actions.
  • Report findings and work with relevant departments to resolve issues.
• Risk Assessment:
  • Conduct risk assessments to identify compliance risks and vulnerabilities.
  • Develop and implement strategies to mitigate identified risks.
• Training and Awareness:
  • Develop and deliver compliance training programs to employees.
  • Promote a culture of compliance and ethical behaviour within the organization.
• Policy Development and Implementation:
  • Develop and update compliance policies and procedures.
  • Ensure that compliance policies are communicated to and understood by all employees.
• Reporting and Documentation:
  • Prepare and submit compliance reports to management and regulatory authorities.
  • Maintain accurate records of compliance activities and investigations.
• Regulatory Liaison:
  • Act as a liaison with regulatory authorities during audits and inspections.
  • Ensure timely and accurate responses to regulatory inquiries

Experience and Qualifications

• 3-5 years of experience in a compliance role, preferably in the same industry.
• Good understanding of compliance laws and regulations.
• Strong analytical and data management skills.
• Effective communication and reporting skills.
• Proficiency in compliance software and tools.

Additional Requirements

• Ability to work independently and manage multiple tasks.
• Strong ethical standards and integrity.
• Willingness to stay updated on industry trends and regulatory changes.
• Commitment to promoting a culture of compliance, collaboration, and continuous improvement in practices.

Education and Training

Bachelor’s degree in business, finance, law, or a related field.