| Detail | For this role |
|---|---|
| Department | Legal and Compliance |
| Level | Entry level |
| Reports to | Compliance Officer |
| Direct reports | None |
| Experience | Fresher or up to 2 years in compliance or admin support |
Compliance Executive job description template
Copy this job description, replace the text in square brackets and post it on your careers page or a job portal.
Job title: Compliance Executive
Department: Legal and Compliance
Reports to: Compliance Officer
Location: [City], [office, branch or site]
About the role
A Compliance Executive supports the compliance team with monitoring checklists, records and coordination under a compliance officer or manager. The role reports to the Compliance Officer or Compliance Manager. A good compliance executive completes checks and checklists on time, keeps compliance records accurate and complete, coordinates training and reminders, follows up open issues, prepares data for reports, and learns the regulations and controls of the business so they can grow into a compliance officer who runs checks and handles breaches on their own.
Key responsibilities
- Complete compliance checklists and routine checks under the officer guidance.
- Keep compliance registers, evidence and records accurate and complete.
- Coordinate compliance training sessions and track attendance and completion.
- Follow up open compliance issues and remind owners of due actions.
- Prepare data and exhibits for compliance reports and reviews.
- Support the collection of documents for know your customer and reporting.
- Help prepare for audits and inspections with records and files.
- Log breaches and complaints and route them to the officer.
- Maintain the compliance calendar and remind the team of due dates.
- Learn the regulations and controls of the business on the job.
Requirements
- Graduate in commerce, law or finance
- Interest in compliance and regulation
- Good computer and record keeping skills
- Fresher or up to 2 years in compliance or admin support
KRAs and KPIs for a Compliance Executive
Key result areas for the appraisal form, each with a KPI you can measure every month or quarter.
| Key result area | How to measure it |
|---|---|
| Checklist completion | Compliance checklists completed on time above the agreed level |
| Record accuracy | Compliance records kept accurate and complete above target |
| Training coordination | Training sessions coordinated and completion tracked on schedule |
| Issue follow up | Open issues followed up before they cross the agreed age |
| Report support | Report data prepared accurately and on time |
| Calendar upkeep | Compliance calendar kept current with due dates flagged |
Skills and tools
Tools used day to day: Compliance management software, MS Excel, Issue trackers, Document management tools, Regulatory portals.
Reporting line and career path
Next roles: Compliance Officer, Compliance Manager, Internal Auditor
Interview questions for a Compliance Executive
- How do you complete compliance checklists accurately and on time?
- How do you keep compliance records complete and audit ready?
- How do you follow up an open compliance issue with a busy owner?
- How do you coordinate a compliance training session?
- How do you keep the compliance calendar current so nothing is missed?
- Why do you want to build a career in compliance?
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What does a Compliance Executive do?
A Compliance Executive supports the compliance team with monitoring checklists, records and coordination. They complete routine checks, keep records accurate, coordinate training, follow up open issues and prepare data for reports. It is an entry route into compliance, learning the regulations and controls of the business on the job.
What is the difference between a Compliance Executive and a Compliance Officer?
A Compliance Executive supports with checklists, records and coordination under guidance. A Compliance Officer runs the monitoring, handles regulatory requirements, flags breaches and reports. The executive assists and learns; the officer carries out the checks and handles issues with more independence.
How do you become a Compliance Executive?
This is often an entry role for graduates in commerce, law or finance with an interest in regulation, and many start as freshers. Employers value accuracy, record keeping and follow up, plus strong integrity. The role can grow into a compliance officer and then a compliance manager.