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Compliance Counsel Job Description Template

Hiring the best person to fill your position starts with formulating the right job description. Avoid wasting time sorting through applications from unqualified candidates by carefully planning and writing an effective description. Your posting should be visible and attractive to the right type of applicant, while making it obvious to unsuitable job seekers that this position is not for them. Being clear, specific and upfront will bring in the resumes you want to see, from candidates who will be a good fit for your company and will be invested in staying with it. This Compliance Counsel job description sample will help you prioritize and assess the information that you should include in your posting.

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Compliance Counsel Job Summary

In your capacity as Compliance Counsel, you will be in charge of ensuring that our company complies with relevant laws and policies. This includes staying abreast of developments, interpreting laws in the context of the company’s activities and ensuring that key personnel are in possession of necessary information. You will also design and implement company policies to maximize compliance, and to efficiently detect and correct any violations. You will supervise a team of assistant counsel and paralegals, and work with outside counsel as needed.

Compliance Counsel Job Responsibilities and Duties

  • Keep informed of relevant legal developments as they occur and analyzing their applicability to the company’s activities and objectives
  • Review company policies and practices on a regular basis to ensure that all are in compliance
  • Review proposed action plans to ensure compliance
  • Develop and implement employee training plan
  • Develop and implement mechanisms for detecting, reporting and correcting violations so as to ensure minimal impact and optimal correction
  • Recommend corporate policies and strategies that promote the company’s goals while complying with regulations
  • Represent the company in the event of administrative or law enforcement audits, investigations or litigation
  • Prepare for the possibility of audits and investigations by developing strategies, maintaining records and designing procedures
  • Promote the company’s interests by participating in public hearings, developing relationships with agency representatives and contributing to public discourse around developments in laws, policies and enforcement
  • Implement changes in company policy

Compliance Counsel Skills and Qualifications

  • J.D. from top-tier law school
  • 10-12 years of experience in finance and regulatory law
  • Understanding of financial operations
  • Demonstrated leadership and organizational abilities
  • Exceptional analytical skills
  • Track record of relevant publication strongly preferred

Company Profile

NYC Financial is a bank headquartered in New York City and with branches in the Tri-State area. Our objectives include expansion both within the United States and overseas. We are currently seeing a fast rate of development and growth.

Writing a Job Description Best Practices

  • The above Compliance Counsel job description sample presents a basic template for your posting. To maximize its effectiveness, tailor it to your needs and specific circumstances. The following best practice guidelines offer a list of dos and don’ts to help you customize and craft your job description so as to attract the candidates you want.

    • Do be as clear and succinct as possible. Compliance Counsel is a position that frequently entails a long list of responsibilities and requirements; keep it as easy to understand as possible by using brief language and delineating your sections with bullet points.
    • Do include information as to the size of the company, the size of the legal department and the nature of its industry.
    • Do make sure to specify if there are job requirements that are not typical to this position. Especially in a small, growing company, Compliance Counsel may be asked to undertake additional tasks or lack the support staff of larger corporations. Being clear about this will attract resumes from candidates who are interested in your opportunity, rather than those who will harbor unrealistic expectations concerning budgets and staff.
    • Do list clearly any additional documentation you require to be submitted, as well as your preferred method for submission. Also include contact information and instructions for submitting questions concerning the application process.
    • Do be specific about requirements. Make sure your language is clear. Stating that you will only look at resumes from top-tier graduates is a clear requirement. On the other hand, requiring candidates to have graduated from a “competitive” law school is subjective and is likely to get you applications from candidates who have overestimated themselves.

      Reviewing this Compliance Counsel job description sample is a great way to get started on making sure that your own posting is well written and effective. The best way to get good candidates to apply for your position is to provide the necessary information that will encourage them to send in their resumes.

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Compliance Counsel Job Responsibilities

A complete and concise job responsibilities section that accurately describes the central duties of the position is essential to your compliance counsel job description. By effectively communicating what the job entails, you can attract the most qualified jobseekers and inspire them to apply. Drawing in the right candidates with clear expectations and a detailed task list can ensure a successful fit and prevent employee turnover in the future.

To avoid overwhelming or deterring potential applicants with too much unnecessary information, it is best to focus on only the most important tasks. Utilizing a bullet-point format with between six and eight entries can also enhance readability and the overall appeal of the compliance counsel job description. Add additional impact by starting each line with a strong, present-tense verb.

Read below for a few strong examples of possible compliance counsel job responsibilities:

  • Review and analyze statutes to ensure company compliance and make recommendations when necessary
  • Create and implement training for employees
  • Write synopses of relevant regulations and laws with an emphasis on readability for company-wide distribution
  • Provide oversight, direction and maintenance of general compliance program
  • Conduct thorough risk assessments, generate reports and present results in quarterly meetings
  • Maintain proper records using company management software
Compliance Counsel Job Specifications

While it is critical for jobseekers to understand the function and responsibilities of the available position, it is also important to identify the specific skills and qualities required to fulfill those duties. A thoughtful and well-written list of compliance counsel job specifications can help potential candidates make a more informed decision about whether they should apply, saving you time and energy by limiting the amount of time you must dedicate to weeding out applicants who are not a great fit and allowing you to focus on those who can bring the right traits and accomplishments to the company.

As you approach this portion of the compliance counsel job description, consider developing a list of the education, skills, experience and previous training that an ideal candidate would have. Next, separate the qualities that are non-negotiable and required to succeed in the position from those that are merely preferred. Creating two distinct categories within the job qualifications and skills section can help increase its usefulness and impact.

For sample skills and qualities that may add value to your compliance counsel job description, refer to the list below:

  • Juris Doctor degree (J.D.) from an accredited law school
  • Minimum 3 years of experience in a related field
  • Strong written and verbal communication skills
  • Superior research, interpretation and analytical skills

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Writing your Compliance Counsel Job Description: Dos and Don’ts

Before posting your job description, take a look at these dos and don’ts and review it to make sure that it is optimally effective.

• Do be specific about the nature of your company’s business.
• Do state the size and location of your company’s headquarters and branches, since this information is relevant in terms of applicable laws and regulations.
• Do enumerate the legal areas that Compliance Counsel is responsible for.
• Don’t include specific salary figures or benefits without consulting company policy.
• Don’t overwhelm important information with unnecessary verbiage or jargon.
• Do state if the position includes responsibilities that are not typical for the job.

Using targeted and specific language makes it easier for the candidates you want to notice your posting and apply for the job. Crafting an effective job description will help you obtain a large selection of great applicants so that you can choose the best person for the position.