Position Summary
The Compliance Manager will oversee the development, implementation, and management of the organization’s compliance program within the financial services environment. This role ensures adherence to applicable US regulatory requirements and promotes a strong culture of ethical conduct and risk management across the organization.
Key Responsibilities
- Oversee and maintain the Compliance Library, ensuring all policies, procedures, regulatory guidance, and control documentation are current, accurate, and aligned with financial regulatory and company requirements
- Lead the implementation of compliance frameworks, including internal controls, and monitoring systems
- Draft, review, and maintain compliance policies and procedures aligned with regulatory expectations and best practices
- Manage and provide leadership to the Compliance function/division, including oversight of compliance analysts and reporting structures
- Establish and maintain processes to monitor compliance risks, including transaction monitoring, control testing, and periodic assessments
- Escalate compliance concerns, incidents, or regulatory breaches to Legal, senior management, and relevant business units in a timely manner
- Coordinate and support regulatory examinations, audits, and inquiries, including documentation and response preparation
- Provide ongoing compliance training and advisory support to business units on regulatory obligations and internal policies
- Partner with Legal and Operations teams to integrate compliance requirements into services, and business processes
- Monitor and report on compliance metrics and program effectiveness to senior leadership
Qualifications
- Bachelor’s degree or 5–8+ years of experience in financial services compliance, risk management, quality assurance or regulatory oversight
- Proven experience designing and implementing compliance programs within a financial institution
- Experience managing teams and leading cross-functional compliance initiatives
- Strong analytical, investigative, and problem-solving skills
- Excellent communication skills with the ability to advise senior stakeholders