Compliance & Regulatory Advisory Specialists

What does a Compliance & Regulatory Advisory Specialist do?

A Compliance & Regulatory Advisory Specialist ensures a company follows all financial laws, regulations, and internal policies. They assess compliance risks, conduct audits, and guide management on regulatory updates. These specialists also train teams on best practices and help maintain transparency and accountability. By keeping operations compliant, they protect the company’s reputation and long-term stability.

    Tier 1

    .

    		 1 to 2
    years of
    experience

    Tier 2

    .

    		 3 to 5
    years of
    experience

    Tier 3

    .

    		 > 5
    years of
    experience

    ABOUT THE ROLE

    Roles and Responsibilities

    • Monitor and ensure compliance with financial laws, regulations, and internal policies.
    • Conduct compliance audits and risk assessments across departments.
    • Develop and update company policies in line with new regulatory requirements.
    • Provide guidance and training to teams on compliance standards and best practices.
    • Prepare and maintain documentation for audits and regulatory reviews.
    • Collaborate with legal, finance, and operations teams to address compliance issues.
    • Safeguard company integrity through accurate reporting and ethical business conduct.

    Day-to-Day Duties

    • Review company operations to ensure compliance with laws and regulations.
    • Conduct routine audits and document findings for management review.
    • Monitor updates to financial and industry regulations.
    • Prepare compliance reports and assist during external audits.
    • Advise teams on regulatory requirements and policy adherence.

    SKILLS AND TOOLS

    Soft Skills

    • Attention to detail
    • Critical thinking
    • Communication
    • Integrity
    • Problem-solving
    • Confidentiality
    • Ethical judgment
    • Adaptability

    Hard Skills

    • Compliance reporting
    • Risk management
    • Auditing
    • Policy development
    • Data analysis
    • Legal documentation
    • Governance
    • Record-keeping

    Tools

    Compliance Management Systems: ComplySci, LogicGate, or Resolver 70%
    Audit Tools: AuditBoard, TeamMate+, or Netwrix 20%
    Regulatory Research Platforms: Thomson Reuters Compliance, LexisNexis, or Wolters Kluwer 10%

    Education

    Common Educational Backgrounds and Career Paths:

    • Accounting
    • Finance
    • Business Administration
    • Law
    • Economics
    • Risk Management
    • Corporate Governance
    • Compliance and Regulatory Affairs

    CANDIDATES TESTS

    Tests & Evaluations for Candidates

    Financial Modeling Test

    Valuation models

    8/10

    For financial analysts, M&A consultants, and valuation specialists.

    Valuation Principles Test

    Knowledge of valuation methods

    9/10

    For corporate finance, investment banking, and strategic advisory roles.

    Advanced Excel

    Proficiency in financial models

    8/10

    For candidates handling complex data-driven financial assessments.