Compliance Manager / Senior Manager Job Description

Compliance Manager / Senior Manager Job Description

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Compliance manager / senior manager provides advice and guidance to the TD Insurance business teams to drive regulatory/compliance requirements and assists in implementing Compliance initiatives to help manage regulatory risk.

Compliance Manager / Senior Manager Duties & Responsibilities

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

Sample responsibilities for this position include:

Assist the MLRO to maintain all records related to such internal reviews, including acknowledge receipt of every report and record the details in register, document evaluation process, conclusion drawn and appropriate follow-up
Ensure the company respond to all production orders within the required time limit as required by JFIU and relevant authorities
Develop and regularly review controls in place (both system and manual) for suspicious transactions detection
Support anti-fraud and anti-bribery framework and manage compliance risk in relation to financial crime aspects
Support SBI JV functional areas to deliver regulatory initiatives projects/NPI
Relationship management with all the regulators/stakeholders like RBI, SBI CC including regular visits/ meetings
Monitor implementation of audit recommendations by regulators and ensure its timely and effective closure
Partner with Legal and relevant functions as appropriate to drive various compliance programme requirements
Drive reporting and timely completion of Regulatory Initiatives and escalation of issues to senior managers as required by use of various tracking tools
Support digital and social-media based marketing initiatives

Compliance Manager / Senior Manager Qualifications

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

Licensing or Certifications for Compliance Manager / Senior Manager

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

Education for Compliance Manager / Senior Manager

Typically a job would require a certain level of education.

Employers hiring for the compliance manager / senior 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, Finance, Law, Accounting, Legal, Management, Education, Business/Administration, MBA, Engineering

Skills for Compliance Manager / Senior Manager

Desired skills for compliance manager / senior manager include:

Asset classes
Digital initiatives
Financial crime and sanctions requirements
Financial risk
Fixed income and foreign exchange
IA regulatory requirements in Singapore
Insurance
Insurance regulatory requirements in Singapore
Investment concepts
Operational risk

Desired experience for compliance manager / senior manager includes:

Develop/Maintain an effective compliance program in Japan that would meet regulatory requirements and expectation of FSA and KLFB
Provide compliance thought leadership for business projects in Japan and support the Business in obtaining regulatory approval, exemption or additional licenses to enable business growth strategy
Establish good working relationship with FSA and KLFB through regular engagement andmeetings
Develop localized training content and deliver regular compliance training to local Business Unit and Functions
Provide compliance leadership in managing internal audits and FSA/KLFB inspection
Professional Compliance Qualification

Compliance Manager / Senior Manager Examples

1

Compliance Manager / Senior Manager Job Description

Job Description Example
Our growing company is looking for a compliance manager / senior manager. 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 manager
  • Provide independent assurance to key stakeholders on the effectiveness and adequacy of regulatory compliance practices and controls and the status of compliance as applicable to the Branch, with timely escalation and reporting of regulatory and compliance related matters to Head Office, to the Branch’s senior management and relevant committees
  • Advise business on compliance risks related to new products, services and activities
  • To a certain extent assist to client meetings in compliance matters
  • Know, apply and interpret all legal and regulatory rules, directives and circulars applicable to a professional of the financial sector
  • Coordinate the different local compliance controls on business with the other local functions such as Risk management and Internal Audit
  • Local communication, roll out and adoption of the Compliance frameworks and policies including compliance related risk based approaches for RBCIS Bank Italy Branch
  • Permanent advice on AML and related requirements to the business
  • Co-ordinate the follow-up on recommendations on the back of audit missions or self-detected issues
  • Assure that all standards mentioned in the Compliance Charter are taken well into consideration and consequently implemented
  • Other tasks and duties as needed
Qualifications for compliance manager / senior manager
  • Experience in assessing compliance related needs and understanding the legal, compliance and regulatory framework and market practices for ethics & compliance programs
  • Must have excellent analytical, interpersonal, written and oral communication skills, including active listening skills
  • Excellent judgment, discretion and ability to appropriately handle legal issues, privileged and confidential information, and highly sensitive documents
  • Proficient in all Microsoft Office applications, particularly PowerPoint and Excel
  • Proven success in audit, risk and/or compliance functions
  • Knowledge of NASD, SEC and other regulatory requirements
2

Compliance Manager / Senior Manager Job Description

Job Description Example
Our growing company is looking for a compliance manager / senior manager. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance manager / senior manager
  • Develops and strategizes innovative approaches with the Global Digital Media Governance Network and Digital Communication Committee to ensure US Affiliate Digital Media compliance
  • Leads in the creation and implementation of Compliance Management operational strategies, goals and objectives for the CAT team
  • Acts as subject matter expert for Compliance Management Operational process in the event of audit or regulatory inspections
  • Participates in or leads relevant Global initiatives or work streams as needed
  • Under guidance of the Director, CAT, oversees and ensures execution of USDS-related CAPAs
  • As a member of the extended USDS Safety Leadership Team, collaborates with the leaders within USDS to drive the organizational strategy, goals, and objectives for the department
  • Responsible for the performance of assigned personnel against departmental processes, standards and performance goals
  • Manage team of 6 Compliance Officers responsible for executing the Compliance Department’s surveillance program (covering email, securities transactions, AML related activities)
  • Create management reporting summarizing the surveillance activities, patterns of questionable sales practice activities, suspicious activity
  • Develop a comprehensive compliance training program, which includes, at a minimum, relevant and contemporaneous content and a comprehensive training calendar
Qualifications for compliance manager / senior manager
  • Assist in managing the timely and high-quality execution of the IT SOX Program
  • Ensure controls are appropriately designed and operating effectively and efficiently
  • Report outcomes and results of compliance assessments and tests to responsible senior management and control owners
  • Ensure remediation occurs and follow-up on the underlying remediation programs
  • Assess potential business, process, and technology changes for impact to compliance objectives
  • Assist with executive reporting on the status of compliance programs, including appropriate reports and metrics that highlight key results of the team's deliverables and related risks
3

Compliance Manager / Senior Manager Job Description

Job Description Example
Our innovative and growing company is looking for a compliance manager / senior manager. 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 manager
  • This position will also support the growing number of Global / Asia compliance related projects / initiatives
  • Assist in providing training support to compliance resources in WAM Asia offices
  • Assist team members’ in the registration process and the preparation of related documents
  • Ensure registration related charts are timely and accurately maintained (i.e., Sales Authorization Report, Critical Documents Chart, Project Information Chart, Master Calendar)
  • Have a practical approach to compliance that balances fair treatment of customers and clients with commercially minded solutions
  • Have experience of advising senior colleagues on compliance or regulatory-related issues within your current or previous roles
  • Be agile and pragmatic in your approach to change
  • Have experience of leading and motivating a team of compliance professionals, inspiring them to develop themselves and promote the objectives of the department and business areas they support
  • Have a full understanding of FCA conduct risk
  • Responsible for process, design, development, maintenance and required reporting for the I-9 and e-Verify adjudication process, Affirmative Action Plan, EEO-1
Qualifications for compliance manager / senior manager
  • Demonstrated innovative thinking process, adaptability, flexibility, creative solution design, and ability to operate independently
  • Experience in designing metrics, measurements, and automated triggers for measuring the operational efficiency and effectiveness of internal controls
  • Flexibility in daily hours (i.e., willingness to work longer hours during peak audit periods)
  • Possess a "whatever it takes to get the job done" mentality (i.e., pick up the phone, stop by a desk, follow-up multiple times) and a strong desire to exceed expectations
  • Demonstrated flexibility and ability to adapt easily to new projects and to follow through on tasks and assignments
  • Demonstrated proficiency in analytical skills when addressing complex inquires
4

Compliance Manager / Senior Manager Job Description

Job Description Example
Our company is growing rapidly and is hiring for a compliance manager / senior manager. 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 manager
  • Be responsible for developing, governing, manageing milestone tracking, budget checking and improving Prepaid Compliance Management framework
  • Perform frequent audits of all mandated policies
  • Work with senior Business directors and people leaders to drive up compliance across the internal and external sales teams
  • Work closely with the Head of Compliance & Regulatory Affairs to design a risk based monitoring framework across multiple carriers and intermediaries in the XL Catlin Group
  • Design, implement and report progress against a robust Compliance Monitoring plan
  • Proactively Manage and develop the Compliance Monitoring team
  • Ensure Monitoring visits are coordinated with other second and third line of defence functions
  • Provide critical support, coaching and counseling to a team of Project Managers
  • Provide career development and training opportunities to a team of Project Managers
  • Manage the overall project to develop and later incorporate the pre-certification tool into our application development and production assurance environments
Qualifications for compliance manager / senior manager
  • Audit/Accounting designation (CIA, CPA)
  • Industry designation/courses (CFA, FRM, PDO), CSI) an asset
  • Must be detail oriented, with excellent oral and written communication skills
  • Ability to recruit and manage staff to achieve business objectives
  • 5+ years of experience with Singapore product safety / consumer compliance regulations
  • Preferred paralegal (or similar) experience
5

Compliance Manager / Senior Manager Job Description

Job Description Example
Our growing company is looking for a compliance manager / senior 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 / senior manager
  • Manage and prioritize multiple complex projects
  • Prepare and provide reports, presentations, materials, guidelines, and documents in response to internal and external inquiries
  • Create tracking tools and provide accurate tracking reports related to project management initiatives, external government inquiries and corporate integrity agreement requirements
  • Support compliance monitoring and auditing initiatives via live and backend activities
  • Assist with federal/state aggregate spend activities via accurate analysis and output of reportable spend under guidance of Senior Director
  • Create and maintain Compliance intranet site
  • Draft company-wide communications related to Compliance Program initiatives or enhancements
  • Assist with creation or revision of Corporate Compliance policies and procedures
  • Assist with the evaluation and creation of internal training materials, including working with third party training vendors to create such materials
  • Maintain current knowledge of changes, trends, rules, regulations, and industry guidance impacting pharmaceutical commercial activities
Qualifications for compliance manager / senior manager
  • Experience in Agile (Scrum) project methodologies and development practices, particularly sprint planning and assessment, and test driven development and continuous integration
  • Previous project management experience with Finance, Tax or SOX/Audit areas a major plus
  • Experience managing expectations when balancing alternatives against business and financial constraints Excellent multi-tasking skills - concurrent work streams and tasks
  • Excellent senior executive and team-level presentation, verbal and written communication, and facilitation skills
  • Minimum seven years of increasing HR or Legal responsibility
  • Strong technical knowledge of operating systems (Windows, Linux, Unix)

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