Financial Services Compliance Manager

Position Overview: We are seeking an experienced and detail-oriented Financial Services Compliance Manager to join our team. This role is crucial for ensuring that our financial services operations adhere to all applicable laws, regulations, and internal policies. The Compliance Manager will be responsible for overseeing compliance programs, conducting audits, and providing guidance on regulatory issues.

Key Responsibilities

• Regulatory Oversight: Monitor and interpret current and upcoming regulatory changes to ensure the company’s compliance with federal, state, and industry regulations.
• Compliance Programs: Develop, implement, and maintain compliance programs and policies, including anti-money laundering (AML), know your customer (KYC), and other relevant practices.
• Risk Assessment: Conduct regular risk assessments to identify potential compliance risks and recommend mitigation strategies.
• Training and Development: Create and deliver compliance training programs for employees to enhance their understanding of regulatory requirements and company policies.
• Audits and Investigations: Coordinate and conduct internal audits and investigations to ensure adherence to compliance standards. Prepare detailed reports and action plans based on audit findings.
• Reporting: Prepare and submit required compliance reports to regulatory bodies and senior management. Ensure timely and accurate reporting of compliance-related issues.
• Advisory Role: Act as a point of contact for compliance-related inquiries and provide guidance to departments on regulatory matters.
• Continuous Improvement: Stay updated with industry trends and best practices to continually improve compliance processes and procedures.
  
  

Qualifications

• Bachelor’s degree in Finance, Accounting, Business Administration, or a related field. A Master’s degree or professional certification (e.g., Certified Compliance and Ethics Professional (CCEP), Certified Regulatory Compliance Manager (CRCM)) is a plus.
• Minimum of 5 years of experience in financial services compliance, with a proven track record in managing compliance programs and conducting audits.
• Strong knowledge of financial regulations and standards, including AML, KYC, and data protection laws.
• Excellent analytical, problem-solving, and organizational skills.
• Exceptional communication and interpersonal skills, with the ability to work effectively with senior management and regulatory bodies.
• High level of integrity and attention to detail.
  
  

Benefits

• Competitive salary and performance-based bonuses.
• Comprehensive health, dental, and vision insurance.
• Retirement savings plan with company match.
• Generous paid time off and holiday schedule.
• Professional development opportunities and career growth support.