Background for a Regulatory Compliance Specialist

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Many companies now are looking to add a regulatory compliance specialist to their organization. The regulation compliance specialist will help from everything in the realm of sox compliance, audit compliance and even security compliance.

This job is a high level position that requires an individual that takes their job serious, and understands that this position falls in the legal area of employment. Currently most positions available do require at a minimum a bachelor degree with a few years of understanding in the industry you are seeking employment in.

With that in mind, the regulatory compliance specialist will take time to research and gather the essential materials together to ensure they are qualified to perform the necessary duties of this position.



Before you apply for any company that offers a regulation compliance specialist opening, note that you will need to have a background free from a criminal history. Due to the sensitive nature of this position most companies will require an extensive background check. Part of this background check will include an educational background check as well, so ensure you only list factual information on your resume.

In general there are several different areas that the regulatory compliance specialist will handle daily. These tend to be vital roles that are played out, and should be situations you are comfortable handling.

* Sox Compliance - All aspects of the Sox Compliance are handled by you. Each requirement is maintained and readily available if there is ever an audit on the company you work for. At times you will do a mock audit to ensure maintained accuracy. Any problems would need to be quickly addressed and corrected.
* Audit Compliance - Protocols would be designed by the regulation compliance specialist to make sure that all areas of the audit compliance section are handled. This could include doing random audits to make sure they are done properly, and to ensure complete accuracy if an outside source audits the company.
* Security Compliance - For security compliance you will be face with ensuring all security factors of the company are documented and well maintained. If there are any problems you encounter, you should fix them and get the company back into compliance with regulations.
* Create policy and procedures for the company that meet and exceed government requirements.
* Develop and ensure implementation of compliance statues that progress the company you are working for forward at all times.
* Create and maintain a system that allows all field offices access to requirements and ensure that they are properly educated on the procedures that have been suggested.
* If any risks arise during your investigations you bring them to the attention of a senior level executive in the organization for proper handling.

When you have completed these sections, you may be asked to assist the company you select with other areas of auditing. The main focus of these positions is to ensure a high level of accuracy remains intact, and that all federal and local guidelines are consistently met.

During the time in your career with a company you may also be asked to handle different areas as well. Some companies have several people working as a regulatory compliance specialist and will rotate them to make sure that each is keeping the regulations of the company intact. Instead of getting comfortable and lenient with individuals they work with, the constant changing of the guard allows for effective practices and integrity that is vital intact.

For the individual that is interested in this position, they should begin looking for open positions in their area. Typically you will find these positions are open in larger cities and among bigger companies, although any company can implement these positions.

As a rule for this position the application process is extensive as a candidate that eventually accepts this role will have a high level of responsibility. You can expect most companies to do several interviews with you before making an offer on the position. Keep this in mind and know that when you are job hunting, this isn't a job you are going to just get and hop right into.

If you are interested in this position or a number of others, take the time to check out ComplianceCrossing.com. There is a free trial that offers you access to thousands of listings. One of those potential listings could be the job of your dreams, so sign up today.
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