合规经理岗位职责汇编(8篇)

岗位职责是什么

合规经理，是企业中至关重要的角色，主要负责确保公司的各项业务活动遵循法律法规、行业规范及内部政策，以维护企业声誉，规避法律风险，并促进企业的可持续发展。

岗位职责要求

1. 深入理解并掌握国内外相关法律法规，及时跟踪法规更新，为公司提供准确的合规指导。

2. 设计并完善公司的合规管理体系，制定合规政策和流程，确保其有效性与实用性。

3. 对各部门进行合规培训，提升员工的合规意识和行为。

4. 对公司业务进行定期审查，识别潜在的合规风险，并提出解决方案。

5. 协助处理涉及合规的争议和调查，确保公司利益最大化。

6. 建立良好的内外部沟通机制，与监管机构保持良好关系，处理合规问题。

岗位职责描述

合规经理的角色是企业合规文化的重要推动者，他们不仅是法规的守护者，也是企业内部的教育者和咨询顾问。他们需要具备敏锐的洞察力，能够预判潜在的合规风险，并通过有效的策略和措施来防止问题的发生。他们还需要具备出色的沟通和协调能力，以便在各个部门之间建立共识，确保合规要求得到贯彻执行。

有哪些内容

1. 法规研究与解读：深入研究并解析适用于公司业务的相关法律法规，包括但不限于税务、劳动、环保、反垄断等领域。

2. 制度建设：制定和修订合规手册、程序文件，构建全面的合规管理框架。

3. 内部审计与监控：定期进行内部合规审计，监控业务活动的合规性，对发现的问题进行整改跟进。

4. 培训与教育：设计并实施合规培训课程，提高全员的合规素养。

5. 风险评估：识别并评估业务流程中的合规风险，制定风险应对策略。

6. 协调沟通：与法务、财务、人力资源等部门紧密合作，确保合规要求融入日常运营。

7. 应对危机：处理涉及合规的突发事件，如举报、调查等，协助管理层制定应对策略。

8. 外部关系维护：与监管机构、行业协会等外部机构保持良好沟通，了解最新合规动态。

作为合规经理，其工作不仅限于执行任务，更在于塑造一个合规的企业环境，通过持续改进和创新，确保企业在遵守法规时，实现商业目标的高效达成。

合规经理岗位职责范文

第1篇 内控合规经理岗位职责

内控合规经理 万科集团总部沃土计划 万科集团总部沃土计划(分支机构) 工作职责:

1、主导公司内部控制体系建设,建立相关的规章制度;

2、对公司管理制度、工作流程和经营管理过程中可能出现的风险点进行识别、分析和评估,

对完善公司制度和流程提出具体建议;

3、进行合规风险管理,组织项目事前风险审核、事中风险控制、事后风险检查,草拟风险

预警提示和风险评估报告;

4、组织实施具体审计项目,包括专项审计、常规审计、舞弊审计、经济责任审计、离任或

离职审计、招采审计等;

5、输出审计报告,提出整改建议。

任职要求:

1、 全日制本科及以上学历,法律、会计、信息、审计等专业;

2、 具备5年以上企业内部审计从业工作经验;

3、 具有高度的职业敏感性和丰富的专项审计经验,能独立完成专项审计项目;

4、 具备良好的公文写作能力;

5、 诚实守信,责任意识强,积极进取;有良好的职业操守和沟通协调能力,工作原则性强;

6、具备一定的风险分析能力,具有较强的团队协作能力及学习能力。

第2篇 风控合规经理岗位职责

风控合规经理 高晟财富控股集团有限公司 高晟财富控股集团有限公司,高晟财富,高晟财富控股,高晟财富集团,高晟 职位描述:

1、 负责产品风险审核

2、 参与产品交易结构的设计、合同拟定及审核、风控措施落实

3、 追踪项目投后管理

4、 公司内部控制体系的建设

5、 领导交办的其他事务

任职要求:

1、 年龄25-35周岁

2、 大学本科学历以上,法律相关专业

3、 证券公司、基金子公司、信托公司、知名财富管理公司投行、风控、合规等部门3年以上工作经验

4、 熟悉财富管理行业、信托行业的相关政策、法律法规

5、 具备较强的学习能力和清晰的逻辑思维能力

第3篇 风险合规经理岗位职责

风险合规经理 东橡投资控股(上海)有限公司 东橡投资控股(上海)有限公司,东橡 职责描述:

1、负责公司内控合规管理体系的搭建与优化,负责公司内控与操作风险有关的政策制定与更新;

2、对各业务条线的业务、文件进行合规性审查和操作风险审查,提供相关咨询服务;

3、负责公司新产品、新业务、信息披露材料等重要信息的合规风险识别及审核,保障业务运行经济高效;

4、负责制定公司内部稽核计划并组织实施,出具检查和分析报告,并督促整改,对违规事件及违规责任人提出处理意见与建议;

5、推广内控和操作风险文化,有针对性地在各业务线进行各类培训,积极推广合规与操作风险文化内涵;

6、负责设定并领导团队完成各项工作计划和目标。

任职要求:

1、全日制本科以上学历,经济、金融、法学等相关专业;

2、熟知股权、基金等金融合规管理(含合规检查与测试、合规咨询与审核等)的运作方式与基本要求;

3、有金融行业内控合规审计经验,有实际搭建合规体系建设经验,能独立进行落地实施;有公司总部级管理经验者佳;

4、熟悉国家法律法规、行业监管规则、企业内部控制规范等法规,有独立的业务合规分析及流程分析能力。

第4篇 合规经理岗位职责

合规经理 华瑞银行 上海华瑞银行股份有限公司,上海华瑞银行,华瑞银行,华瑞 职责描述:

(一)负责对口监管机构现场检查及非现场检查工作,跟踪监管意见和监管要求的落实情况;

(二)持续关注外部法规的最新发展,正确理解外部法规的规定及其精神,及时为高级管理层提供合规建议;

(三)协助制定并执行合规管理计划;

(四)协助开展合规培训;

(五)协助制定合规管理程序以及合规手册、员工行为准则等合规指南;

(六)协助建立合规风险监测指标,按照风险矩阵衡量合规风险发生的可能性和影响;

(七)协助开展合规风险评估和测试,包括通过现场审核对各项制度和程序的合规性进行测试,询问制度和程序存在的缺陷,并进行相应的调查;

(八)其他相关合规管理工作。

任职要求:

(一)全日制法律或经济、金融本科(含)以上学历且接受过法学教育,通过国家司法考试者优先;

(二)具有5年以上的商业银行工作经验,且具有2年以上的监管联络工作经验。熟悉银行基本业务,熟悉各类金融法律法规,熟悉银行合规管理工作内容和要求;

(三)品行端正,工作勤奋踏实,吃苦耐劳,具有良好的沟通能力协调能力。

第5篇 法律合规经理岗位职责

法律合规经理 华能天成 华能天成融资租赁有限公司,华能天成,华能天成租赁,天成融资租赁,华能天成 职位描述:

1、参与各类项目的结构设计、谈判与法律文本起草、审核,负责具体项目的法律风险和政策风险评估;

2、搜集、整理与公司经营有关的法律、法规、行业政策等信息,定期向公司领导及相关部门提供;

3、负责与律师、法院等法律部门的衔接、沟通;

4、出险事故的调查、处理及可能的仲裁、诉讼的应对,为重大异常及预警、出险类项目的处理或仲裁、诉讼提供法律支持;

5、检查公司业务运作流程,对公司各类合同的执行情况进行监督,规避法律风险。

职位要求:

1、全日制统招重点院校法律相关专业本科及以上学历。

2、2年以上律师或企业法律顾问相关工作经验,通过国家司法考试者优先。

3、熟悉金融行业法律、法规及行政规定,能够熟练制订合同文本。

4、具有较强的沟通组织能力、逻辑分析能力和文字综合能力,具有高度的责任心和良好的职业操守。

第6篇 法务合规经理岗位职责

法务合规经理(知识产权方向) 青岛亿联客信息技术有限公司 青岛亿联客信息技术有限公司,yeelight,yeelink,亿联客 岗位职责:

1、负责构建并落实公司的知识产权管理体系,制定和实施公司在境内外的知识产权(主要是商标、域名、软件著作权)申请和管理方案;

2、制定和实施公司的合规政策,负责知识产权侵权监控,为公司的知识产权和商誉保护提供法律支持, 为公司相关业务条线和员工提供知识产权法和竞争法相关的法律咨询;

3、处理相关诉讼案件或危机事件;对接和管理相关境内外律师事务所、其他专业代理机构;

4、负责其他与知识产权相关的工作。

任职要求:

1、本科以上学历,法学或理工类专业,熟悉并掌握专利法、著作权法、商标法等关于知识产权方面的法律法规,对机械结构、电子等有专业认知;

2、至少5年以上国内外知名企业或律所知识产权实战经验,拥有丰富的国内外海外专利诉讼、许可谈判经验者;

3、通过专利代理人考试者或具有中国或美国律师资格者优先;

4、英文优异优先。

第7篇 高级合规经理岗位职责

合规高级经理 supporting the senior director for effective leadership of enhancing compliance culture locally in the specified affiliate, including accountability and consequences for non-compliance.

supporting the senior director for effectively implementing the global compliance standard and carrying through the global standard to the local organization in the specified affiliate through strategic planning and effective communication, training and monitoring of policies, controls and initiatives across functions and throughout the region.

supporting the senior director for effective leadership of ethics & compliance locally to ensure the specified affiliate maintains an effective compliance program and accomplishes the global compliance standard by conducting business and all activities with the highest sense of ethics and integrity, with consistent and appropriate consideration of local differences.

supporting the senior director for leading tone from the top and other compliance communication programs that emphasize the importance of compliance, maintaining a speak up culture and the company’s commitment to compliance and acting in a legal, compliant and ethical manner

ethics & compliance policy developments and supportive processes in the specified affiliate

coordinating risk assessment, identification and management activities to ensure an integrated approach to identifying and managing risk, performing prospective systemic reviews of applicable processes, protocols, and practices and/or retrospective reviews of actual practices, and facilitating the completion of risk maps for significant risks in coordination with global and regional monitoring activities in the specified affiliate.

planning and implementation of adequate monitoring and control system to secure a high level of compliance with the entire organization in coordination with global and regional monitoring activities in the specified affiliate.

anti-bribery and anti-corruption program, including third-party due diligence processes relating to compliance in the specified affiliate

data privacy according to the local laws and requirements in the specified affiliate

control on information provided to hcp by commercial or medical in the specified affiliate

control on payment or funding (including grant, donation and sponsorship) to hcp or healthcare organizations in the specified affiliate

identifying, defining and tracking the compliance and regulatory environment in the applicable local countries in the specified affiliate

supporting the senior director for the management of processes to collect and appropriately report compliance violations and potential violations in a timely fashion, including effective implementation and management of compliance hotlines and helplines.

supporting the senior director for strategic oversight of tracking, trending and appropriate investigation of and follow-up on ethics and compliance related issues, concerns or actual or potential violations consistent with global and regional processes; this includes implementing appropriate corrective actions if violations occur.

benchmarking local compliance initiatives and structures to ensure that the company follows best practices in the pharmaceutical industry.

supporting the senior director for allocating compliance resources in accordance with the level of compliance risk in the specified affiliate.

supporting the senior director for identifying, preventing and/or resolving local and specified compliance risks, including management of local ethics and compliance risk assessments and support for regional and global ethics and compliance risk assessments.

supporting the senior director for oversee and ensure that specified affiliates establish and run cross-functional local compliance committees with appropriate governance.

implementing, enhancing and ensuring that transfers of value to hcps, hcos, patient organizations and any other required transparency are appropriately done, collected and reported within the regional and/or global framework for transparency, in accordance with laws, regulations, codes and company policies and processes in the specified affiliate.

effectively implementing the third party compliance standard to the local business partners in the specified affiliate

other ethics & compliance initiatives deemed necessary to further enhance astellas’ commitment to compliance (including global leadership role for certain specific area) in the specified affiliate and regionally, as directed by the senior director, e&c, east asia supporting the senior director for effective leadership of enhancing compliance culture locally in the specified affiliate, including accountability and consequences for non-compliance.

supporting the senior director for effectively implementing the global compliance standard and carrying through the global standard to the local organization in the specified affiliate through strategic planning and effective communication, training and monitoring of policies, controls and initiatives across functions and throughout the region.

supporting the senior director for effective leadership of ethics & compliance locally to ensure the specified affiliate maintains an effective compliance program and accomplishes the global compliance standard by conducting business and all activities with the highest sense of ethics and integrity, with consistent and appropriate consideration of local differences.

supporting the senior director for leading tone from the top and other compliance communication programs that emphasize the importance of compliance, maintaining a speak up culture and the company’s commitment to compliance and acting in a legal, compliant and ethical manner

ethics & compliance policy developments and supportive processes in the specified affiliate

coordinating risk assessment, identification and management activities to ensure an integrated approach to identifying and managing risk, performing prospective systemic reviews of applicable processes, protocols, and practices and/or retrospective reviews of actual practices, and facilitating the completion of risk maps for significant risks in coordination with global and regional monitoring activities in the specified affiliate.

planning and implementation of adequate monitoring and control system to secure a high level of compliance with the entire organization in coordination with global and regional monitoring activities in the specified affiliate.

anti-bribery and anti-corruption program, including third-party due diligence processes relating to compliance in the specified affiliate

data privacy according to the local laws and requirements in the specified affiliate

control on information provided to hcp by commercial or medical in the specified affiliate

control on payment or funding (including grant, donation and sponsorship) to hcp or healthcare organizations in the specified affiliate

identifying, defining and tracking the compliance and regulatory environment in the applicable local countries in the specified affiliate

supporting the senior director for the management of processes to collect and appropriately report compliance violations and potential violations in a timely fashion, including effective implementation and management of compliance hotlines and helplines.

supporting the senior director for strategic oversight of tracking, trending and appropriate investigation of and follow-up on ethics and compliance related issues, concerns or actual or potential violations consistent with global and regional processes; this includes implementing appropriate corrective actions if violations occur.

benchmarking local compliance initiatives and structures to ensure that the company follows best practices in the pharmaceutical industry.

supporting the senior director for allocating compliance resources in accordance with the level of compliance risk in the specified affiliate.

supporting the senior director for identifying, preventing and/or resolving local and specified compliance risks, including management of local ethics and compliance risk assessments and support for regional and global ethics and compliance risk assessments.

supporting the senior director for oversee and ensure that specified affiliates establish and run cross-functional local compliance committees with appropriate governance.

implementing, enhancing and ensuring that transfers of value to hcps, hcos, patient organizations and any other required transparency are appropriately done, collected and reported within the regional and/or global framework for transparency, in accordance with laws, regulations, codes and company policies and processes in the specified affiliate.

effectively implementing the third party compliance standard to the local business partners in the specified affiliate

other ethics & compliance initiatives deemed necessary to further enhance astellas’ commitment to compliance (including global leadership role for certain specific area) in the specified affiliate and regionally, as directed by the senior director, e&c, east asia

第8篇 财务合规经理岗位职责

合规经理-财务方向  accurately prepare financial statements, business activity reports, and forecasts.

 provide technical e_pertise and advice on comple_ accounting issues to functional or operational areas managers to help them develop revenue and e_pense budgets, understand financial reports, and manage their financial responsibilities, to ensure the organization receives satisfactory standards of service.

 review company financial reports and seek ways to reduce costs.

 ensure the accounting activities managed in accordance with accounting principles and comply with all relevant ta_ laws and regulations that affect the industry. these activities may include accounts payable and receivable; general ledger maintenance; financial analysis and reporting; budgeting, revenue, and asset accounting.

 analyze market trends to find opportunities for e_pansion, and help management make financial decisions.

 support headquarters and superior for ad hoc projects as necessary.

the incumbent

 bachelor degree or above in accounting or related disciplines.

 8+ years overall combined accounting and finance e_perience, from which 5+ years management e_perience.

 cpa or cma preferred.

 thorough knowledge of accounting principles and procedures.

 e_perience with manufacturing business preferred.

 e_cellent accounting software user and administration skills.

 audit e_perience preferred but not necessary.

 knowledge of erp systems.

 good leadership skill, problem solving and analytical skill.

 proficient in written english.  accurately prepare financial statements, business activity reports, and forecasts.

 provide technical e_pertise and advice on comple_ accounting issues to functional or operational areas managers to help them develop revenue and e_pense budgets, understand financial reports, and manage their financial responsibilities, to ensure the organization receives satisfactory standards of service.

 review company financial reports and seek ways to reduce costs.

 ensure the accounting activities managed in accordance with accounting principles and comply with all relevant ta_ laws and regulations that affect the industry. these activities may include accounts payable and receivable; general ledger maintenance; financial analysis and reporting; budgeting, revenue, and asset accounting.

 analyze market trends to find opportunities for e_pansion, and help management make financial decisions.

 support headquarters and superior for ad hoc projects as necessary.

the incumbent

 bachelor degree or above in accounting or related disciplines.

 8+ years overall combined accounting and finance e_perience, from which 5+ years management e_perience.

 cpa or cma preferred.

 thorough knowledge of accounting principles and procedures.

 e_perience with manufacturing business preferred.

 e_cellent accounting software user and administration skills.

 audit e_perience preferred but not necessary.

 knowledge of erp systems.

 good leadership skill, problem solving and analytical skill.

 proficient in written english.