Assistant Director of Compliance Job Description [Updated for 2025]

In the complex world of regulatory compliance, the role of the Assistant Director of Compliance has never been more pivotal.

As business landscapes evolve, the demand for professionals who can maintain, enhance and protect our organizational compliance frameworks grows in tandem.

But let’s delve deeper: What’s truly expected from an Assistant Director of Compliance?

Whether you are:

• A job aspirant trying to unravel the core of this role,
• A hiring manager curating the perfect candidate profile,
• Or merely fascinated by the intricacies of regulatory compliance,

You’ve come to the right place.

Today, we present a customizable Assistant Director of Compliance job description template, designed for effortless posting on job boards or career sites.

Let’s get started.

Assistant Director of Compliance Duties and Responsibilities

The Assistant Director of Compliance assists in ensuring that the organization complies with all relevant laws, regulations, and internal policies.

This individual might work in various industries, with the primary goal of helping avoid any legal, financial, or reputational harm to the organization from noncompliance.

The Assistant Director of Compliance will typically have the following duties and responsibilities:

• Assist in developing, implementing, and maintaining the organization’s compliance program
• Perform regular audits to ensure compliance and identify potential areas of compliance vulnerability and risk
• Develop and implement corrective action plans for resolution of problematic issues
• Provide reports on a regular basis, and as directed or requested, to keep the Senior Director of Compliance and senior management informed of the operation and progress of compliance efforts
• Ensure proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required
• Collaborate with other departments (for example, human resources, legal, and operations) to direct compliance issues to appropriate existing channels for investigation and resolution
• Participate in the creation and delivery of training programs aimed at promoting awareness and understanding of compliance issues
• Stay abreast of changes to federal and state laws that affect the organization
• Consult and liaise with corporate attorneys as needed to address difficult legal compliance issues
• Respond to government investigations and queries as the principal point of contact

 

Assistant Director of Compliance Job Description Template

Job Brief

We are seeking a detail-oriented and experienced Assistant Director of Compliance to join our team.

The Assistant Director of Compliance will be responsible for ensuring our company adheres to legal standards and in-house policies.

They will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters.

A great Assistant Director of Compliance is well-versed in legal guidelines and corporate governance best practices.

They are professionals of high ethical standards and work diligently to complete their duties keeping in mind the objectives of the business.

 

Responsibilities

• Develop and implement an effective legal compliance program
• Create sound internal controls and monitor adherence to them
• Draft and revise company policies
• Proactively audit processes, practices and documents to identify weaknesses
• Evaluate business activities (e.g. investments) to assess compliance risk
• Collaborate with external auditors and HR when needed
• Set plans to manage a crisis or compliance violation
• Educate and train employees on regulations and industry practices
• Address employee concerns or questions on legal compliance
• Keep abreast of internal standards and business goals

 

Qualifications

• Proven experience as a Compliance Officer or Compliance Manager
• Experience in risk management
• Knowledge of legal requirements and controls (e.g. Anti-Money Laundering, or AML)
• Familiarity with industry practices and professional standards
• Excellent communication skills
• Integrity and professional ethics
• Teamwork skills
• Attention to detail
• Professional certification (e.g. Certified Compliance & Ethics Professional (CCEP)) is a plus
• BSc/BA in law, finance, business administration or related field

 

Benefits

• 401(k)
• Health insurance
• Dental insurance
• Retirement plan
• Paid time off
• Professional development opportunities

 

Additional Information

• Job Title: Assistant Director of Compliance
• Work Environment: Office setting with occasional travel for meetings or audits.
• Reporting Structure: Reports to the Director of Compliance.
• Salary: Salary is based upon candidate experience and qualifications, as well as market and business considerations.
• Pay Range: $85,000 minimum to $150,000 maximum
• Location: [City, State] (specify the location or indicate if remote)
• Employment Type: Full-time
• Equal Opportunity Statement: We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
• Application Instructions: Please submit your resume and a cover letter outlining your qualifications and experience to [email address or application portal].

 

What Does an Assistant Director of Compliance Do?

An Assistant Director of Compliance typically works for organizations across various industries, particularly those under heavy regulatory scrutiny such as finance, healthcare, and manufacturing.

Their primary role is to assist the Director of Compliance in developing, implementing and maintaining the organization’s compliance program.

They ensure that the organization adheres to legal standards and in-house policies.

They are responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters.

They are involved in auditing and reporting procedures to identify hidden risks or non-conformity issues.

The Assistant Director of Compliance also helps in drafting, modifying and implementing company policies.

They collaborate with corporate counsels and HR departments to monitor the enforcement of standards and regulations.

Their role involves assessing the business’s future ventures to identify possible compliance risks, reviewing the work of colleagues when necessary to identify compliance issues and providing training and advice to employees on compliance-related topics.

In case of compliance inconsistencies, they follow up with management and employees to ensure appropriate corrective actions are taken.

 

Assistant Director of Compliance Qualifications and Skills

An Assistant Director of Compliance should possess a strong set of skills and qualifications that include:

• Extensive knowledge of regulations and standards applicable to the industry in order to ensure the organization’s compliance
• Strong analytical skills to assess, interpret and understand laws and regulations related to the company’s operations
• Excellent communication skills to effectively convey compliance policies and procedures to employees at all levels within the organization
• Ability to develop and implement effective strategies and procedures for ensuring company-wide compliance
• Demonstrated ability to identify potential areas of compliance vulnerability and risk, and develop corrective action plans for resolution
• Strong leadership skills to manage and direct compliance teams, and to influence the behavior and understanding of others when it comes to compliance issues
• Exceptional organizational skills to manage multiple tasks and projects simultaneously and meet deadlines
• Problem-solving skills to address any instances of a company failing to meet compliance standards and develop solutions to prevent such issues in the future

 

Assistant Director of Compliance Experience Requirements

An Assistant Director of Compliance typically requires a substantial amount of experience in the field of compliance, often about 5 to 7 years.

In this time, professionals often gain crucial experience within the regulatory compliance environment, working with both internal and external audit procedures.

They usually start their journey in roles such as Compliance Analyst or Compliance Officer, where they develop their understanding of law enforcement, regulatory guidelines, and corporate governance.

They may also gain experience in specific industries, such as finance, healthcare, or manufacturing, depending on where their compliance careers take them.

Candidates with more than 3 years of experience often further their knowledge of compliance by managing and implementing regulatory policies and procedures, identifying potential areas of compliance vulnerability, and developing corrective action plans for resolution of problematic issues.

Those with more than 5 years of experience usually have leadership experience in their background.

This could include leading a compliance team, training staff on compliance issues, or working closely with a Director of Compliance.

They may also have experience with reporting to senior management and making recommendations on changes and improvements to existing standards and procedures.

Advanced degrees or certifications, like a Certified Compliance & Ethics Professional (CCEP) or Certified Regulatory Compliance Manager (CRCM), can also add to their credentials and experience.

 

Assistant Director of Compliance Education and Training Requirements

Assistant Directors of Compliance typically have a bachelor’s degree in finance, business, law or a related field.

They need to have a strong understanding of regulatory guidelines and laws, and should be well-versed in compliance protocol.

Some positions may require Assistant Directors of Compliance to have a master’s degree in business administration, finance or law.

Candidates for this position should also have some years of experience in a regulatory or compliance role to understand the complexities of the job.

In addition to these, obtaining professional certifications like Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS), or Certified Compliance & Ethics Professional (CCEP) can increase job prospects and demonstrate commitment to the field.

Continuing education through workshops, seminars, and conferences is also beneficial to stay updated with changes in compliance regulations and standards.

 

Assistant Director of Compliance Salary Expectations

The average salary for an Assistant Director of Compliance is $95,488 (USD) per year.

The actual earnings can vary depending on factors such as years of experience in the field, educational background, and the location of the employing organization.

 

Assistant Director of Compliance Job Description FAQs

What skills does an Assistant Director of Compliance need?

An Assistant Director of Compliance should possess strong analytical skills to interpret regulatory rules and determine how they apply to the organization.

Communication skills are also vital to effectively relay complex compliance issues to stakeholders of varying levels of understanding.

Additionally, they should have a keen attention to detail, leadership skills, and the ability to manage multiple projects and tasks simultaneously.

 

Do Assistant Directors of Compliance need a specific degree?

Most Assistant Directors of Compliance hold a bachelor’s degree in a related field such as business, finance, law, or healthcare, depending on the industry.

However, many employers prefer candidates with a master’s degree or law degree.

Additionally, specific certifications, like Certified Compliance & Ethics Professional (CCEP) or Certified Regulatory Compliance Manager (CRCM), can be beneficial.

 

What should you look for in an Assistant Director of Compliance resume?

On a resume, look for a strong background in compliance or risk management, as well as in-depth knowledge of the specific regulations and laws applicable to your industry.

Previous experience in a leadership role is also beneficial.

Certifications in compliance, project management, or related fields can demonstrate commitment and expertise.

 

What qualities make a good Assistant Director of Compliance?

A good Assistant Director of Compliance is an individual who is analytical, diligent, and proactive, with a strong understanding of regulatory requirements and the ability to implement compliance programs effectively.

They should have excellent leadership skills and be able to communicate complex information clearly.

High ethical standards and integrity are also crucial qualities.

 

What are the daily duties of an Assistant Director of Compliance?

Daily duties may include reviewing policies and procedures, ensuring they comply with regulatory requirements, conducting internal audits and risk assessments, and developing or updating compliance programs.

They may also spend time training staff on compliance matters, working with other departments to address compliance issues, and reporting on the status of compliance activities to the Director of Compliance.

 

Conclusion

And there you have it.

Today, we’ve shone a spotlight on what it truly means to be an Assistant Director of Compliance.

Surprised?

It’s not just about ticking boxes.

It’s about safeguarding the integrity of the business, one regulation at a time.

With our go-to Assistant Director of Compliance job description template and real-world examples, you’re ready to step up.

But don’t stop now.

Go further with our job description generator. It’s your key to precision-crafted listings or refining your resume to excellence.

Bear in mind:

Every regulation complied with is a step towards a safer business environment.

Let’s create that future. Together.

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