Compliance Manager Senior Job Description

Compliance Manager Senior Job Description

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Compliance manager senior provides clear advice on the application of US rules and firm policy in relation to Anti-Money Laundering, Sanctions and Anti-corruption;.

Compliance Manager Senior Duties & Responsibilities

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

Sample responsibilities for this position include:

Leading initiatives and projects related to central compliance functions as directed
Reviewing and coordination of regulatory inquiries and responses for the firm
Entering, reviewing and approving compliance incidents for the Americas region
Researching and project management for the establishment of procedures developed to enhance the firm's process for the identification and record keeping of Lobbying and Political contributions
Oversight of the firm's processes to identify and manage employee personal conflicts
Coordinating with the Assurance and Testing function to ensure that controls are adequately identified for testing
Assisting with external exams by regulators and other parties via production of documents/responses
Support the establishment of site training needs, prioritize those needs, and develop responsibilities
Support the company wide Learning Management System (LMS)
Represent the company and promote the company's position on training programs, LMS, and training records during inspections by regulatory agencies

Compliance Manager Senior Qualifications

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

Licensing or Certifications for Compliance Manager Senior

List any licenses or certifications required by the position: CPA, CISA, CRCM, MBA, CISSP, CIA, CISM, PCI, OGA/PGA, ISO

Education for Compliance Manager Senior

Typically a job would require a certain level of education.

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

Skills for Compliance Manager Senior

Desired skills for compliance manager senior include:

Anti-corruption
Anti-money laundering
Applicable laws and regulations
At least one substantive area of compliance
Asset classes
Databases and spreadsheets
Digital initiatives
Financial Industry & Banking Rules Regulations
Financial crime and sanctions requirements
Financial risk

Desired experience for compliance manager senior includes:

Keep abreast of industry and affiliated publications, memberships, and technologies to ensure organizational goals are met
Support proactive compliance as the site representative for emerging regulations
Manage the monthly collection and qualification of all Community Development activities
Act as a community development data review and documentation specialist
Promptly identify weaknesses in CRA performance/processes, bring to the manager’s attention and actively engage in the creation of CRA procedures and process improvements
Act as a consultant to lines of business by providing training and advisory services which address CRA performance and other matters

Compliance Manager Senior Examples

1

Compliance Manager Senior Job Description

Job Description Example
Our growing company is hiring for a compliance manager senior. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance manager senior
  • Proactively identify risks to customers and markets - both conduct and regulatory
  • Avoid the creation of these risks and implement actions to mitigate unavoidable risks
  • Identify relevant information to aid the early identification of issues
  • Interpreting and implementing emerging conduct and regulatory themes in support of business strategy
  • Identifying the issues and pulling together the relevant individuals to tackle whatever issues come up
  • Working with colleagues from across the business at all levels up with senior committees, gaining exposure to management at the highest levels
  • Playing a key role in developing the firm's compliance and regulatory risk profile
  • Design and perform methods for monitoring adherence to the asset management compliance program and related regulatory requirements
  • Support compliance testing program for CMIA and CMID owned processes
  • Provide compliance guidance to line of business partners designed to expand and enhance the compliance program
Qualifications for compliance manager senior
  • Excellent industry knowledge in at least one of the following
  • Excellent team working capabilities to enable effective collaboration with colleagues across the Group
  • Advise on regulatory and compliance requirements for branch-wide matters new product/service, outsourcing, appointment of managers, Technology Risk Management, Credit/Liquirity Risk Management, regulated activities
  • Establish suitable monitoring and control processes to oversee activities carried out by relevant business areas
  • This involves advising on preventative measures against specific transactions with new or existing businesses
  • Proven years of experience in audit/compliance/banking role, preferably with exposure across wholesale banking business and broad-based compliance experience across other business areas retail/private banking and central compliance
2

Compliance Manager Senior Job Description

Job Description Example
Our innovative and growing company is looking for a compliance manager senior. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance manager senior
  • Create targeted, program-based assessments using established underlying methodologies that mirror regulatory audits
  • Conduct assessments on current programs with the goal of identifying weaknesses and risk
  • Work with internal program managers to develop paths to green for identified weaknesses
  • Regularly check-in on action item progress using an established post-assessment check-in
  • Develop training methodologies and processes based on compliance requirements
  • Develop regulatory based targeted trainings to address identified weakness
  • Contribute to trade compliance metrics
  • Reviewing client name screening and Actimize AML & MAD alerts, analyze and investigate suspicious activities / transactions reported by business and operations
  • Preparing the relevant compliance reports & compliance testing pertaining to Security Services for submission to Head Office
  • Liaising with regulators, external/internal auditors and co-ordinate regulatory inspection, investigation and audit assignment
Qualifications for compliance manager senior
  • Degree in Law, Finance or Business related disciplines
  • Sound knowledge of insurance and pension regulatory requirements is a must
  • Experience in regulatory authority or law enforcement agencies is preferred
  • More experienced candidate will be considered a more senior role
  • Provide pro-active Compliance support and leadership for Information Technology function in India
  • A minimum of 4 years risk mitigation, compliance, full-time Ombuds, audit, or other relevant experience
3

Compliance Manager Senior Job Description

Job Description Example
Our company is growing rapidly and is looking for a compliance manager senior. 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 senior
  • Apply a risk management approach to identify potential gaps/improvement opportunities that align to external trends and internal business priorities
  • Ensure timely and adequate resolution of ongoing investigations by training a pool of investigators, following up during the investigation process and ensuring appropriate level of ownership of corrective actions by critical stakeholders
  • Drive continuous improvement and standardization across all projects
  • Participate in building and maintaining relationships with external bodies regulators, trade bodies, banks and partner organisations
  • Oversees development and implementation of compliance program policies and standards addressing other required regulatory policies
  • Further development and implementation of comprehensive senior management and Board compliance risk reporting, aimed at demonstrating compliance with regulatory requirements
  • Present at senior management level on (developments in) compliance related risk
  • Providing guidance to the senior management, staff, and employees on compliance
  • Overseeing and monitoring the implementation of the compliance program
  • Developing policies and programs that encourage managers and employees to report suspected breaches of compliance and other improprieties without fear of retaliation
Qualifications for compliance manager senior
  • Minimum CA or MBA (Finance) qualification with 3-4 years of experience in Internal Audit
  • Champions Consumer Risk management and oversees projects involving most critical and complex laws and regulations that have a significant impact on the operations or strategy of the Company
  • Manages the Governance, Program Development, and systems management team
  • Oversees the CRA, Fair Banking, and Compliance Testing Technology and Software infrastructure, including vendor oversight
  • Responsible for the CRA and Fair Banking Risk Assessment methodology and annual implementation
  • Responsible for managing CRA and Fair Banking examinations and internal audits
4

Compliance Manager Senior Job Description

Job Description Example
Our growing company is hiring for a compliance manager senior. 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 senior
  • Author compliance opinions
  • Participate in response development to regulatory inspection observations
  • Provide guidance and assistance to regional business units to support compliant policies and activities
  • Conduct periodic assessments and monitoring of business units, customs brokers and supply chain service providers to confirm trade compliance policies are implemented appropriately
  • Perform al other related duties as assigned
  • Subject matter expert on regulatory and compliance requirements for operations and maintenance, and project activities
  • Provide management and oversight for all IT compliance activities such as SOX, DCAA, and ISO
  • Responsible for integration with other non-IT compliance organizations (Human Resources, Finance, Supply Chain, Trade Compliance, others) for organizational compliance requirements
  • Coordinate all internal and external IT audit and IT compliance activities, such as SOX and DCAA
  • Responsible for revision, consolidation, and expansion of compliance frameworks as environment changes
Qualifications for compliance manager senior
  • Prefer people management experience
  • Excellent computer skills and proficiency in MS Word, Excel, PowerPoint, Outlook and case management systems
  • The individual must have excellent interpersonal skills and be able to work in a diverse multi-ethnic work setting and with potentially difficult, challenging personalities
  • The candidate must be able to demonstrate excellent planning and organizational skills
  • Provide site management for Quality Management Review (QMR) program
  • Manages non-routine projects of moderate to high complexity, using resources across site and across departments to assure timely remediation of high quality
5

Compliance Manager Senior Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of compliance manager senior. 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 senior
  • Ensure the pre-certification tool and all processes developed adequately support all new Company initiatives, while continuing to streamline or automate existing manual functions
  • Oversee the development of certification scripts and a certification process for each client interface
  • Communicate frequently with peers and management team to provide updates
  • Provide thorough recommendations on feasibility of pre-certification tool and vendor, future deployment plans
  • Provide 24/7 pager support for escalation of system outages
  • Help identify potential areas of compliance risk and vulnerability
  • Serves as liaison between facilities and outside contractors, and regulatory personnel on all environmentally related activities
  • Acts as an alternate Emergency Coordinator by responding to significant accidents, incidents, and complaints
  • Deeply seasoned individual to support implementing and maintaining a world class compliance testing and monitoring framework and program
  • Control narratives and architecture to ensure that overall implementation and operational plans are sufficient
Qualifications for compliance manager senior
  • Previous legal, audit or risk management experience
  • Familiarity with Outlook, Excel, PowerPoint and Word, are required
  • JD or other advanced degree or training preferred
  • Experience in retail and/or consumer products industries
  • Certification as an ethics and compliance professional preferred (e.g., CCEP / CCEP-I or equivalent)
  • Global compliance experience

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