Compliance Manager Job Description

Compliance Manager Job Description

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Compliance manager provides support to project office for design, management, and reporting of grants program in accordance with USAID regulations and internal policies and procedures.

Compliance Manager Duties & Responsibilities

To write an effective compliance manager job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance manager job description templates that you can modify and use.

Sample responsibilities for this position include:

Ensuring the KYC procedures and escalation policies are followed
As needed, you will develop local Compliance procedures to adapt company policies to local by-law requirements
Collaborate with Records Management Coordinators to establish procedures that are consistent with and in support of the BNYMellon Records Management policy and regulatory requirements
Analyze complex regulatory compliance issues and state and federal privacy laws and present recommendations in written and oral communications to management
Provide guidance and assistance in the identification, implementation, and maintenance of Pershing’s privacy and data protection program, and policies and procedures in coordination with the Business Teams, Compliance Department, Legal Department, and Information Security
Supporting KYC Analysts in performing research via internal and external sources, gather and analyze documentation in accordance with regulatory CIP/KYC requirements
Assisting with other project requirements as directed by KYC Management
Responding efficiently to other "ad hoc" requests for assistance from business and KYCS
Ensuring all process related changes are embedded in day to day delivery of work
Testing the application controls supporting key financial reporting processes

Compliance Manager Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Compliance Manager

List any licenses or certifications required by the position: ISO, CRCM, CAMS, PMP, CFE, COS, IEC, CISA, PCI, EAS

Education for Compliance Manager

Typically a job would require a certain level of education.

Employers hiring for the compliance manager job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Business, Education, Finance, Accounting, Law, Management, Business/Administration, Legal, Economics, Health

Skills for Compliance Manager

Desired skills for compliance manager include:

Regulations
Excel
Federal
Microsoft Office
Word
Microsoft Office software
Procedures
Project planning and project management methods and tools
U.S. banking laws and regulations
PowerPoint

Desired experience for compliance manager includes:

Strong relationship management skills with senior business leaders
Thorough knowledge of banking processes, service operations, products and systems
The position will require high attention to detail, flexibility, patience, good analytical interpersonal skills, and the ability to work independently
Updating and maintaining various compliance metrics (i.e., spreadsheet to track number of trade escalation issues, participation in new issues)
Support the delivery of the compliance responsibilities (see below) on a timely and consistent basis and in accordance with agreed service levels
Ability to work effectively within a group independently

Compliance Manager Examples

1

Compliance Manager Job Description

Job Description Example
Our growing company is looking to fill the role of compliance manager. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for compliance manager
  • Keeping abreast of upcoming, new and revised rules, regulations and directives applicable to the business and facilitating changes, as required
  • Identify, communicate, and escalate as appropriate control issues and process inefficiencies
  • Development of compliance best practices, and communicating US regulatory rules and laws ensuring their implementation throughout the firm
  • Take a leading role in the development, enhancement and completion of the Compliance Monitoring Program (CMP)
  • Responsibility for the development and implementation of risk assessments and CMP annually
  • Driving forward monitoring capabilities, benchmarking with our peers, hosting and attending monitoring forums
  • Provide input to risk assessments of sub-advisors and provide oversight on behalf of the RTC Funds of sub-advisor upon engagement and in quarterly reporting
  • Head up compliance function and MLRO for the business
  • Maintain and update knowledge base of compliance to aid the business on legislation
  • Identify risks to the business and offer resolutions
Qualifications for compliance manager
  • Proven ability to build confidence and trust with internal and external customers
  • Significant exposure to compliance /regulatory issues and a record of problem solving in that sphere
  • Minimum of 5 years work experience in compliance, audit or investments
  • Strong knowledge of Private Banking and Private Trust
  • Wealth industry knowledge and/or Wealth business experience
  • Canadian Securities Course and/or other relevant exams
2

Compliance Manager Job Description

Job Description Example
Our company is growing rapidly and is hiring for a compliance manager. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance manager
  • Review the applicable Corporate Records Retention Schedule(s) and notify BNYMellon Global Records Management of any issues specific to their area which would require changes to the Records Retention Schedule(s), such as the addition of new Record Classes or Business Functions within the Schedule(s)
  • Conduct and/or facilitate internal communication and training on Records Management issues and best practices
  • Assist with defining business-specific service provider requirements for any Records storage, retrieval, protection or destruction contracts
  • Respond to reported violations of the Records Management policy or incidents pertaining to records management and escalate such violations as appropriate
  • Assist the Legal Department in the Legal Hold process
  • Ensure adherence to, and coordinate all, requirements of the Records Management Reporting Framework (Attestation) and enterprise Records Management initiatives such as the Self-Assessment Minimum Standards program
  • Facilitate the records destruction review and approval process for the disposal of all types of records
  • Participate in division and corporate working groups and initiatives relating to privacy and/or records management matters
  • Serve as a consultant to senior leadership on privacy and records management issues
  • Build up Compliance Team in China
Qualifications for compliance manager
  • Prior experience in a similar
  • Advanced professional education is preferred
  • Ability to interact with senior management and investment professionals clients
  • Ideally will have previous experience within compliance at an asset manager
  • Flexibility to change the ability and desire to influence change
  • Promotes self and team learning opportunities
3

Compliance Manager Job Description

Job Description Example
Our company is looking for a compliance manager. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for compliance manager
  • Acting as a liaison with compliance colleagues to assist with the delivery of the regional and global compliance priorities
  • Processing state and local applications
  • Reporting their business activities within various jurisdictions
  • Ensuring that all licensing and tax accounts are established
  • Reslove tax and licensing related matters with various off-site locations within the organization
  • Develop effective working relationships with Accounting, Sales, and Management staff
  • This position will also act as a liaison with state and local government entities
  • Review, design and implement company policies
  • Set up internal control and ensure compliance workflow
  • Fix internal control deficiencies as identified by management or internal control reviews
Qualifications for compliance manager
  • Candidates to have experience in retail banking and compliance
  • University degree holder in related fields including Law, Finance
  • At least 5 years of experience in compliance and knowledge in asset management, FICC, equities, derivatives, leverage and acquisition finance and private wealth management
  • Passion for compliance and regional exposure will be a plus
  • 4 year college degree is preferred, would consider comparable experience
  • Bachelor degree in finance, accounting, auditing or other related field, previous big 4 experience is a plus
4

Compliance Manager Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of compliance manager. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for compliance manager
  • Develop, implement and as applicable enforce an adequate and consistent compliance framework including preparing and maintaining current Compliance related policies, procedures, manuals and guidelines designed to ensure timely compliance with all laws, rules, regulations, guidelines, codes of conduct and standards of good practice
  • Provide leadership and a high level of service to internal clients, providing interpretive advice as to the application of complex securities regulations to various business scenarios
  • Conduct periodic compliance testing and monitoring to ensure that compliance procedures are followed as per the Compliance Assurance Program (CAP)
  • Manages and assists the Senior Compliance Manager in drafting, editing and maintaining written policies and procedures and presentation materials for client and executive visits
  • Provide training programs at induction, subject specific programs and oversight of the eLearning programs that are Compliance related
  • Support timely and complete regulatory filings and notifications as required under regulation
  • Undertake compliance reviews, documentation drafting, provision of compliance opinions/views and research assignments as requested
  • Manage a team of investigators who review, investigate and respond to customer complaints
  • Co-ordinate & Lead Compliance Council meetings across both facilities
  • Co-ordinate all Audit activities across both facilities & partner with leaders and process owners to drive process improvement and issue resolution as required
Qualifications for compliance manager
  • Significant customer focus and understanding of regulatory risk
  • Ability to manage high volumes of work in a fast paced environment and manage multiple priorities
  • Ability to influence people and deal with conflicting points of view and to effect creative and responsive solutions
  • Ability to deal with all levels of staff within TDBG
  • Experience in Compliance, Operational Risk, Legal or Audit at a financial institution
  • Working closely with the business to develop and implement Compliance plans and frameworks
5

Compliance Manager Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of compliance manager. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for compliance manager
  • Research and understand Industry rules and activities in order to help incorporate effective supervision for business policies and procedures
  • Assist business partners in developing adequate compliance policies and procedures
  • Ensure Compliance Policies and corresponding Business Written Supervisory Procedures (WSP) are established and refreshed
  • Work on ad hoc continuous improvement projects to enhance policy, strengthen controls and build efficient processes
  • Assist EMEA Controllership team with balance sheet reviews and close calls
  • Review of Internal Audit reports for EMEA and assist on Controllership issue
  • Coordination of the Financial Shared Service Centre Internal Audits
  • Stay apprised of regulatory changes, partner with legal counsel to provide actionable advice to business units supported
  • Actively attend meetings and collaborate with multiple business partners to foster a culture of compliance
  • Encourage and manage the right balance between the customer, adviser and shareholder within the regulatory and legal framework
Qualifications for compliance manager
  • Firm understanding of the products and services offered by a broker dealer, supervisory responsibilities of each
  • 5+ years of related experience in compliance operations, risk management, and industry experience (development, infrastructure, application, operations and security)
  • At least 5 years solid compliance function in pharmaceutical industry with 2 years or above managerial experiences
  • Bachelor degree above, majoring in Finance / Accountancy or related disciplines
  • Ability to develop effective working relationships with clients and staff
  • Knowledge of CFTC / NFA FINRA requirements

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