Compliance Senior Manager Job Description

Compliance Senior Manager Job Description

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Compliance senior manager provides leadership to the Institute and its Affiliated Organizations in the area of tax to ensure compliance with federal state and other tax laws, policies, and regulations.

Compliance Senior Manager Duties & Responsibilities

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

Sample responsibilities for this position include:

Provide input into various Global Compliance reports, prepare ongoing Board reports for the Delaware Trust Board reports and participated in local management and Board committee meetings
Lead efforts in gathering data and preparing for CRA examinations/audits, quarterly performance reports and annual CRA self-assessments
Ensure data and reports are current at all times
Create additional analysis and reports
Provide leadership within the DE Trust office regarding all Compliance related matters
Ensure that business conducted is within the bounds of the relevant Delaware and other legislation, sound fiduciary principles and best practices
Provide guidance and oversight regarding relevant trust regulatory requirements including but not limited to Reg 9 requirements, the pre/post acceptance and annual review process
Supervise AML transaction monitoring program for the company, overseeing the Compliance Officer who reviews alerts and conducts investigations
Ensure maintainance of compliance-related records to include complaints, fraud attempts, EDD investigation, SAR and other relevant logs
Ensure compliance with the standards established in the Regulatory Compliance Management Framework and conduct applicable compliance oversight reviews

Compliance Senior Manager Qualifications

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

Licensing or Certifications for Compliance Senior Manager

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

Education for Compliance Senior Manager

Typically a job would require a certain level of education.

Employers hiring for the compliance 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 Senior Manager

Desired skills for compliance senior manager include:

Approval
Healthcare industry
Laws and regulations relating to the development
Recent federal and state enforcement activities
Commercialization of biotechnology/pharmaceutical products
Control summaries
Relevant regulatory compliance
Reports
Work programs
BCF and Compliance Policies

Desired experience for compliance senior manager includes:

3+ years experience in bank lending, underwriting and/or loan review
Very strong oral/written communication and PowerPoint skills
Demonstrated ability to work independently and perform in a fast-paced environment
Ability to research and interpret data from various sources
Strong interpersonal and relationship building skills to build good relationships with clients and stakeholders across all levels, including with external parties as relevant regulatory bodies
Minimum of 7-10 years work experience in compliance, investments, audit or investments

Compliance Senior Manager Examples

1

Compliance Senior Manager Job Description

Job Description Example
Our growing company is looking to fill the role of compliance 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 senior manager
  • Support the identification and resolution of compliance escalated matters
  • Risk assessment - Coordinate with Global and regional Compliance leadership and implement business risk assessment initiative and drive mitigation plans arising therefrom
  • Testing & Monitoring - Coordinate with relevant functional owners to conduct regular audits of Compliance areas and support business in driving requisite improvements/resolutions for issues identified
  • Business /Region compliance priorities – Execute on compliance priorities by establishing strong operating mechanisms with Digital Global and Regional compliance officers to execute on a comprehensive compliance program at the organization level
  • Administer and maintain our regulated entity’s compliance program
  • Advise senior leadership regarding risk management and regulatory changes
  • Monitor and audit the business Platforms
  • Conduct current state analysis and document future state requirements, , document and recommend solutions
  • Research and resolve complex accounting issues
  • To assist the Head of Compliance in developing the AML procedures and develop and administer the checking procedures to ensure compliance with local and regional standard
Qualifications for compliance senior manager
  • 5+ years experience in the Community Reinvestment field
  • 2 years experience in the CRA compliance area as a bank examiner or working in an OCC-regulated large bank
  • A preference for experience within Compliance, Risk, Trustee or Control framework of a Financial Institution
  • Ideally will have previous experience within Compliance doing Retail Compliance Advisory
  • Strong wholesale banking knowledge of products (loans, derivatives, trade finance, cash management), regulated activities, cross-border business, Mainland-related business is a definite advantage
  • Good knowledge of HKMA and SFC regulatory requirements, experience in managing and communicating with regulators
2

Compliance Senior Manager Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of compliance 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 senior manager
  • Manages direct reports – USDS Compliance & Training Managers (levels E3-5)
  • Manage the timely closure of AML and Trade/Account Alerts and investigations from the transaction monitoring system (SunGard Protegent) and exception reports
  • Preparing regular internal compliance meetings and assist in validation of new services and new products
  • Defining and deliver appropriate Financial Security training
  • Advising and review insourcing/outsourcing arrangements according to group and regulatory requirements
  • Acting as coordinator of AEOI and FATCA in project and BAU modes
  • Acting as back-up of the reporting manager and carry out any other working matters assigned by him/her
  • Responsible for the day-to-day oversight of the EMEA Communications review process (which includes compliance with GIPS) within the Legal Department, and the execution of our internal processes and controls around the review of EMEA Communications materials
  • Designs controls and implements process improvements in coordination with and guidance from the Head of Global Communications Compliance
  • Educates relevant staff about T
Qualifications for compliance senior manager
  • Knowledgeable of best practices with respect to all aspects of investigations (e.g., conducting interviews, case management, reporting), and experience with reviewing existing investigations procedures and protocols to ensure their consistency with industry best practices
  • Knowledge of, or experience with domain risks related to IT security, systems, data privacy, cloud security and big data applications or prior experience in IT organizations highly desirable
  • Minimum - Bachelors degree in Chemistry, Food Science or a related discipline and minimum 10 years of relevant and demonstrable regulatory experience in the flavor- or food industry
  • Incumbent must have excellent interpersonal/communication skills, including strong verbal and written skills in English
  • Incumbent should have team management experience
  • Ability to handle multiple projects simultaneously, prioritizing workload to meet multiple deadlines
3

Compliance Senior Manager Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of compliance senior manager. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance senior manager
  • Act as a coordinator in SOX remediation and Audit testing
  • Develop and maintain strong working relationships with key Business and IT Stakeholders and Business and IT PMs
  • Proactively ensure hosted projects achieve 100% OTD/OTD+30 (On Time Delivery) based on the Stakeholder Delivery commitments
  • Manage and report project progress - 100% project status (weekly) reporting for Tech Organization dashboard
  • Make solution recommendations that align to near- and/or long-term strategic plans and roadmaps
  • Develop and articulate solution alternatives and employ data-based recommendations and influence decision makers to ensure business outcomes will be achieved
  • Work closely with Cross-functional Business and development teams to analyze and develop the best solution design and approach as a hands-on analyst or PM
  • Ensure IT A & S-hosted projects follow Technology-wide SDLC processes and are 100% SOX-compliant
  • Advocate effective and innovative project management practices including ServiceNow/PPS for Project and Management Reporting, project plan templates, Deliverables Tracking, Estimate to Complete Tracking, Change Management, Issues and Risk Management, and Project and Steering team meeting standards on owned projects
  • Serve as the first escalation point and actively drive issues and risks to closure
Qualifications for compliance senior manager
  • Minimum eight years of combined experience in IT and compliance operations experience
  • Experience with the Anti-Kickback statute, Foreign Corrupt Practices Act and/or global equivalents, or other white-collar criminal/highly-regulated global laws
  • Candidate must possess at least a Bachelor's Degree, Post Graduate Diploma, Professional Degree, Law or equivalent
  • Provides support and management for the development and audience selection of CRA, HMDA, and Fair Banking Learning Management Training
  • Implementation of Global and US Compliance Framework, methodologies, and minimum standards within the CRA and Fair Banking program
  • Manages and participates in due diligence identifying CRA and Fair Banking risks and develops integration plans
4

Compliance Senior Manager Job Description

Job Description Example
Our innovative and growing company is hiring for a compliance senior 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 senior manager
  • Manage IT governance – policy and procedures
  • Assess compliance and operational risks and develop risk management strategies
  • Conduct and oversee periodic internal assessments or audits to ensure compliance is maintained
  • Evidence adherence to compliance objectives
  • Complete quarterly compliance assessments and reporting
  • Manage and remediate oversight of all identified control vulnerabilities
  • Inventory all applicable regulatory requirements, incorporating into a single, unified framework
  • Identify and plan for upcoming, new or changing regulatory considerations
  • Direct the implementation of appropriate strategic/tactical solutions to ensure PCI compliance
  • Work with a cross functional teams to understand compliance requirements and help build out processes to meet compliance requirements
Qualifications for compliance senior manager
  • Prefer prior experience working under a CIA or Deferred Prosecution Agreement (DPA) or advising clients related to CIA/DPA requirements
  • Provides effective leadership in training and developing internal customers/stakeholders on compliance topics
  • Provide quality/compliance guidance to internal and external business partners
  • 10 years of GMP related experience in pharmaceutical, biologics, medical device, or related industry, along with knowledge of applicable US and foreign regulations
  • Strong technical writing skills and attention to detail are mandatory
  • Strong communication, written and presentation skills strongly preferred
5

Compliance Senior Manager Job Description

Job Description Example
Our company is looking to fill the role of compliance senior manager. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance senior manager
  • Prepare and circulate any incident reports as required and where applicable give an estimated cost or time frame for the resolution of breaches in compliance
  • Produce management reports as required or requested
  • Liaison with, and offer strategic direction to, related governance functions (Physical
  • Security/Facilities, Risk Management, IT, HR, Legal and Compliance) including senior and middle management throughout the organization
  • Lead the design, implementation, operation, and maintenance of the Information Security Management System based on the ISO/IEC 27000 series standards and SSAE SOCR
  • Form a “Center of Excellence” for information security management and compliance
  • Lead or commission the preparation and authorize the implementation of necessary information security and operational policies, standards, procedures and guidelines, in conjunction with the Security Committee
  • Leads information security risk assessments and controls selection activities
  • Create, communicate and maintain policies to reflect new or changing regulatory/industry standards or corporate developments
  • Assess various investment strategies for adherence to applicable fund rules and regulations
Qualifications for compliance senior manager
  • Demonstrated leadership ability to drive Ethics & Compliance strategy
  • Capable of managing multiple projects simultaneously and providing effective compliance support and guidance to all functions and individuals within the corporate structure
  • Excellent database skills with the ability to design, analyze and reconcile large data sets
  • Experience in conducting compliance audits related to U.S. Foreign Corrupt Practices Act (FCPA), U.K
  • Minimum of seven years working in a quality management role in a regulated industry with progressively more responsibility, preferably with the medical device industry
  • Documented knowledge of quality system requirements for medical devices (FDA, ISO )

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