Compliance Analyst Duties & Responsibilities

The role and function of a Compliance Analyst includes the following duties and responsibilities:

Researching industry compliance regulations and policies.
Evaluating internal operational and procedural compliance.
Analyzing and updating existing compliance policies and related documentation.
Developing and maintaining a compliance recordkeeping system.
Training employees on industry compliance requirements.
Maintaining communication with compliance regulators and following up on applications.
Keeping up with compliance requirements and amendments to regulations.
Communicating compliance policies and guidelines to Management and designated departments.
Developing and executing new compliance policies and procedures as required.
Applying for compliance certification and regulatory approval.

Note that this is not an exhaustive list of Compliance Analyst duties and responsibilities. Job functions for specific Compliance Analyst roles may vary, depending on the industry and type of employer.

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