Manager, Compliance Job Description

Manager, Compliance Job Description

4.5
173 votes for Manager, Compliance
Manager, compliance provides compliance consulting to the process, ensuring that site operations consistently meet the requirements of current Good Manufacturing Practices (cGMP) and that appropriate control systems are in place and continually optimized to meet changing regulatory, corporate and industry standards.

Manager, Compliance Duties & Responsibilities

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

Sample responsibilities for this position include:

Assist with compliance screening (Denied Parties Screening, Embargoes, ) of employees, contractors, customers, transactions, and products through appropriate government agencies
Support the development of a strong and consistent compliance culture across all areas operations in London
Ensure the business remains compliant, adhering to the FCA Regulations
Assists Palmer Square with developing and launching/implementing new financial products and offerings, including but not limited to mutual funds, private funds, interval funds, exchange traded funds, collateralized loan obligations, proprietary indices
Submit SEC filings for our US registered company and individuals who need to be licensed in US states
Assist with the production of monthly and quarterly management reports to local and global governing committees
Working with the KYC Analysts to ensure timely completion of profiles and prioritize workload to meet objectives of the KYC team
Raising Production Quality issues
Reviewing KYC profiles for sign off in accordance with the Group Policy, local regulatory requirements and Sign off authority
Analyzing the risk associated with the client from a technical perspective

Manager, Compliance Qualifications

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

Licensing or Certifications for Manager, Compliance

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

Education for Manager, Compliance

Typically a job would require a certain level of education.

Employers hiring for the manager, compliance 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 Manager, Compliance

Desired skills for manager, compliance include:

Operations
Products
ERP-SAP
Regulations
Systems
Acts in conformance with HSBC internal control standards
Assigned businesses
Systems and organization and understanding of all significant regulatory compliance requirements applicable to the business
Excel
Industry compliance initiatives pertaining to areas of responsibility and best practices

Desired experience for manager, compliance includes:

Proven ability to develop metrics and senior level reporting / presentations within required deadlines
Effectively leads a highly dynamic team
Ability to execute effectively under pressure
Sound decision making abilities regarding compliance risks and recommended corrective actions
Demonstrate excellent negotiation and resource management skills
Exposure to Consumer line of business

Manager, Compliance Examples

1

Manager, Compliance Job Description

Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of manager, compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for manager, compliance
  • Assisting in the testing of IT General controls for Information Security (Windows, UNIX, Databases), Program Change Management, and other selected Operational processes (i.e., Problem Management., Job Scheduling)
  • Document specific enhancements to the IMS to reflect additional categories of intermediaries and changes to the controls required
  • Maintain close relationships within Corporate Banking in the region
  • Keeping abreast of key regulatory initiatives attending working groups, steering groups and committees where appropriate
  • Assist in collating and documenting Compliance MI for quarterly and monthly reports at Board and Committee level
  • The Compliance Manager/Officer is also responsible for ensuring that customer complaints and investigations cases are processed efficiently, accurately and timely in order to meet regulatory requirements and expectations
  • Conduct periodic review of material classifications (HTS, ECCN, Schedule B, Licenses, ) and update required documentation, database, and processes
  • Assist with internal reporting and recordkeeping of compliance issues or violations
  • Interface with internal management and employees of all levels, external customers and regulatory officials
  • Report all test results to compliance department management the appropriate business clients
Qualifications for manager, compliance
  • Bachelors degree or Certified Regulatory Compliance Manager preferred, but will consider equivalent experience in federal consumer compliance
  • Experience in an electronic accounts payable processing environment, including both domestic and foreign payments
  • Strong working knowledge of State Sales and Use and Escheatment requirements and filings
  • Strong working knowledge of 1099, 1042 and FATCA requirements
  • T&E auditing and compliance experience preferred
  • Possess strong interpersonal, communication, analytical, tactical and organizational skills and be able to work under tight timelines
2

Manager, Compliance Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of manager, compliance. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for manager, compliance
  • Perform internal control reviews on plants and overseas operations
  • Compliance testing (ADP, ACP, 415, 416)
  • This position is responsible for end-to-end processing of customer complaints and investigations and contacting field members and clients as necessary
  • The Compliance Manager is also responsible for ensuring that customer complaints and investigations cases are processed efficiently, accurately and timely in order to meet regulatory requirements and expectations
  • This individual will be responsible for providing peer leadership by training and coaching other team members in the case and ad hoc review process, while simultaneously carrying his/her own complex case review load
  • Additionally, the Compliance Manager will be responsible for leading ad hoc projects and delegated tasks from the leader of the group
  • Coordinate regulatory and compliance reporting requirements and provide counsel on audit and regulatory findings to effectively manage risk
  • Provide compliance leadership and communicate compliance issues and recommendations
  • Serve as the main point of contact for all Records Management issues and inquiries within Pershing and affiliates and work with BNYMellon Global Records Management as needed
  • Implement, maintain and review Records Management practices within the Pershing business area(s)
Qualifications for manager, compliance
  • Prefer experience in manufacturing facility or regulated industry
  • Minimum of 9 years compliance experience and 5 years management experience
  • You will have strong project management skills and experience with demonstrated ability to manage multiple projects simultaneously
  • Complete fluency in both Chinese and English (i.e., speak, read and write) is required
  • Investment compliance experience
  • Ideally will have previous experience within compliance at a corporate bank
3

Manager, Compliance Job Description

Job Description Example
Our company is growing rapidly and is hiring for a manager, compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for manager, compliance
  • Develop and deliver training in compliance risk areas
  • Counsel and provide leadership with business partners on compliance process issues
  • To execute field audits independently in accordance with the Group's audit requirements
  • Advise on and review firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements
  • Assist clients in the performance of compliance functions
  • Prepare and file required regulatory filings for US and international clients
  • Review, assess, devise, and conduct training of our clients’ employees and management
  • Review client and account documentation for anti-money laundering compliance
  • Providing compliance services and managing regulatory and compliance matters for the businesses
  • Assisting with the preparation of regulatory compliance reports, as required, per the compliance plans and governance framework
Qualifications for manager, compliance
  • Reputational and conduct risk experience is ideal
  • A minimum of 6 years relevant experience preferable from multi-national company
  • Previous trained from Big 4 with external auditing experience is highly preferred
  • Minimum of 7-10 years of compliance, risk management or regulatory experience in the institutional funds business
  • Business travel anticipated to be 10 – 15%
  • ACOI qualified (min PDC 1-4) and or auditing qualification
4

Manager, Compliance Job Description

Job Description Example
Our company is searching for experienced candidates for the position of manager, compliance. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for manager, compliance
  • Provide advice and guidance in relation to the business through the consideration of both local regulations and Group standards
  • Work with relevant departments to maintain a portal of current company policies
  • Set up control framework in accordance with China SOX requirements
  • Promote internal control awareness and culture
  • Support in operational audits activities
  • Execute the established Compliance Monitoring Program
  • Undertake AML KYC support activities for primary client on-boarding TA related investor take on
  • Provide reporting to local CEO, CMC, Board of Directors and to the group function to the parameters and deadlines imposed
  • Provide advice and direction to management andline staff on regulatory issues arising
  • Be the regulatory liaison point and promote positive regulatory relations
Qualifications for manager, compliance
  • More than ten years of working experience in auditing, internal control or managing compliance activities in an MNC
  • Proficient in MS Office, familiar with ERP accounting module (SAP) as a functional end user
  • Degree and / or relevant professional qualification and / or significant relevant consulting or industry experience
  • Experience in the regulatory/compliance environment in the Financial Services sector
  • Thorough working knowledge of the regulatory framework including the FCA Handbook and Data Protection Act
  • Experience in developing and managing risk based compliance monitoring plans
5

Manager, Compliance Job Description

Job Description Example
Our company is looking for a manager, compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for manager, compliance
  • Promote compliance awareness and coordinate delivery of training to leaders & employees
  • Continually monitor key processes to identify compliance-related risks and drive process improvements
  • Partner with Division & Corporate team members to maintain awareness of upcoming changes, best practices and risks related to compliance
  • Effective Business Partner for EMEA Financial Shared Services, Tax, Treasury, Manufacturing Finance, Internal Audit, Market Finance in the areas of Statutory and Internal control/SOX compliance
  • Provide SOX training/updates to control owners and performers and presentations at controllership forums
  • Walk through the internal controls and processes with control owners to ensure SOX/Internal Control documentation reflects activity in EMEA
  • Reviewing detailed gross to net calculations that require Electronic Audit evidence and evidence of Management review to ensure support is adequate and working with Market Finance directors to enhance this evidence
  • Administration of the Control Self-Assessment and Letter of Representation confirmation Processes
  • Coordination of the Audit Process for EMEA under a centralized audit strategy through close relationship with Ireland based external auditors, Market Finance, Manufacturing Finance and Financial Shared Services
  • Support the Centralised Statutory Preparation Process carried out by financial Shared Services and ensure adherence with statutory reporting deadlines for EMEA Support Statutory GAAP transitions if an issue in an EMEA market
Qualifications for manager, compliance
  • Preference for working knowledge on AFSL and ACL obligations and legislation
  • Ability to utilize multiple technology platforms
  • 7-10 years previous experience in Compliance and/or Legal with a concentration on developing, managing and facilitating a records management program
  • Previous experience at a financial services firm is required
  • Experience in the Privacy Compliance field preferred
  • Bachelor’s degree in business, finance, legal and/or technology required

Related Job Descriptions

Resume Builder

Create a Resume in Minutes with Professional Resume Templates