Senior Manager, Compliance Job Description

Senior Manager, Compliance Job Description

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Senior manager, compliance provides AML Compliance support to WU agents and its affiliates in implementing their respective compliance and anti-money laundering programs;.

Senior Manager, Compliance Duties & Responsibilities

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

Sample responsibilities for this position include:

Review and analyze investigative data to provide reports to the Ethics & Compliance team in support of various strategic projects and initiatives, identifying potential areas of improvement with respect to investigation procedures and protocols
Support Asset Management Compliance Program for ETF products – policies, procedures, oversight, coordination with LOB and other GCO groups
Ensure appropriate local regulatory risk rating methodologies are applied to the Trust unit (inherent/residual)
Determine Unit employee training needs and conduct staff training on AML/BSA/CIP/USA PATRIOT Act, OFAC, Privacy, Anti-Tying and other regulatory courses as necessary
Serve as regulatory liaison and prepare and manage the examination process
Track and resolve internal and external compliance issues
Resolve problems or unusual situations that have been escalated by staff
Other projects that may arise from time to time
Act as Privacy Officer for the Company and assist in the privacy management function (including, conducting training for all staff, incident reporting, P&P review and development and oversight of the annual mailing.)
Education and support to business unit stakeholders and Compliance teams

Senior Manager, Compliance Qualifications

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

Licensing or Certifications for Senior Manager, Compliance

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

Education for Senior Manager, Compliance

Typically a job would require a certain level of education.

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

Skills for Senior Manager, Compliance

Desired skills for senior manager, compliance include:

Regulations
Canadian Banking business and regulatory compliance requirements
ERP-SAP
Applicable Securities Acts
Conduct of investigations
FCA compliance and anti-money laundering programs
Procedures
Products and services
Programs and business initiatives
Regulatory and legislative developments

Desired experience for senior manager, compliance includes:

High level of technical knowledge of the CRA
Ideally will have previous experience within compliance advisory and the Dodd-Frank regime
Ideally will have previous experience within compliance looking and the Dodd-Frank regime
Prefer an undergraduate degree in Business Administration, Information Systems or a related field
Ideally will have previous experience within compliance and the Dodd-Frank rule
Monitoring and testing of key controls and identifying areas of improvement, making recommendations to the business

Senior Manager, Compliance Examples

1

Senior Manager, Compliance Job Description

Job Description Example
Our growing company is looking to fill the role of senior manager, compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for senior manager, compliance
  • Implementing policies and procedures as a result of changes in Head Office directives and local laws & regulations applicable to Securities Services
  • Keeping abreast on new regulations and group policies & procedures applicable to Securities Services and to update Management and staff on such changes
  • To assist the Head of Compliance in developing the Distribution Compliance Manual and develop and administer the checking procedures to ensure compliance with local and regional standard
  • In general be responsible for the respect of ethical and deontological rules regarding AML, banking secrecy and professional obligations in compliance as defined by Group Compliance and/or required by local regulations
  • Support the day to day operations of the compliance and legal team globally, but specifically as it related to federal programs and privacy rules and regulations (e.g., responding to proposed federal contract RFPs, MSAs)
  • Be the focal point for Class and Statutory Authorities and keeping up to date with operating standards, rules and regulations of classification societies, continental shelf authorities, flag states
  • Advise in changes to new, or revised, regulations and standards
  • Carrying out the client acceptance and review process according to internal KYC procedures local regulatory AML/CFT requirements
  • To assist the Head of Compliance in reviewing developing and maintenance of the compliance manual and code of conduct for employees and management company and administer the compliance manual and code of conduct for employees
  • Timely and accurate reporting/ application to the Securities Commissions and other regulatory bodies
Qualifications for senior manager, compliance
  • Bachelor’s Degree, Military experience, or a minimum of 10 years experience in the Community Development field
  • At least 3 years experience in Community Reinvestment field
  • MBA or other relevant Master’s level degree
  • Able to work under pressure and ability to lead a team
  • Excellent communication skills with proficiency in English and Cantonese
  • Tertiary qualifications in related fields – Business, Law, Economics
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Senior Manager, Compliance Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of senior manager, compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for senior manager, compliance
  • Provision of quality consultancy advice to sponsors planning clinical programmes in Europe – small /medium Biopharma companies in the USA
  • Drive ongoing enhancements to Compliance KRIs/KPIs that measure the effectiveness of compliance risk strategies
  • Oversee production, vetting and refinement of other compliance reporting and presentations, including, but not limited to, presentations for meetings with regulatory agencies, financial review meetings
  • Coach and develop staff by providing an environment that encourages ongoing personal and professional development
  • Independently reviews and comments on regulatory agency draft documents
  • Investigate high-complexity issues, gather/research and track related information, serve as a “go to” person for team members related to the investigation, and make decisions and/or recommendations, as appropriate
  • Serve as an expert resource on assigned subjects for multiple lines of business and/or larger scope, provide compliance support to assigned business lines, and act as a key resource and “go to” person for business partners
  • Assess risk and develop systematic methods of improving compliance in necessary areas
  • Develop and deliver communications and other educational resources to aid in compliance education and training within the corporate, functional and vendor communities
  • Oversee operation and improvement of key compliance systems (e.g., incident/investigation management, gift reporting, conflict of interest disclosures, and due diligence)
Qualifications for senior manager, compliance
  • Knowledge of Hong Kong rules and regulation relating to the Equities business
  • Experience with investigating allegations in a corporate setting, federal law enforcement agency or intelligence agency, with the ability to manage complex, high profile or sensitive investigations, preferred
  • Experience managing and maintaining a case management system, with the ability to collect and analyze data, evaluate information and systems and prepare reports, memos, summaries and analyses of findings
  • Must act proactively in addressing internal and external customers’ needs
  • Solid comprehension of current regulatory & scientific affairs and ability to use this knowledge wisely within the business environment
  • Must be proficient in the use of a PC and possess a working knowledge of associated software packages
3

Senior Manager, Compliance Job Description

Job Description Example
Our innovative and growing company is hiring for a senior manager, compliance. 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 senior manager, compliance
  • Be an excellent communicator and influencer in order to build strong internal and external working relationships that support Nationwide’s application of regulations
  • Monitor and research Federal, State, Provincial, and local employment laws, regulations and legislative updates in partnership with the legal department to ensure the company is reacting and HR is receiving information timely
  • Structure the proper trade compliance (import/export) organization and procedures to meet business goals and customer needs for import and export activities
  • Maintain responsibility for customs brokers performance and compliance to all applicable rules and regulations
  • Outline process improvements and implement policies and procedures to meet our stated goals and to provide for quick response/higher service levels to our customers, lead the move toward the integration of new and updated technology to meet the specifications for supply chain and logistics management
  • Maintain Industry-wide and/or best practices through research and communities memberships
  • Develop, evaluate, and implement improved processes, methods and tools to continually improve software analysis, project management, and delivery
  • Initiate improvements to the overall strategic vision for the Technology organization and assist with education and culture change
  • Demonstrated high-quality, high velocity, measureable project execution expertise
  • Provide hands-on issue resolution alternatives and takes ownership of assigned deliverables
Qualifications for senior manager, compliance
  • Manages the CRA and Fair Banking Policies, including the Corporate Complaint Policy
  • Supports the Global Compliance initiative to capture, analyze, and report on identified Consumer and CRA and Fair Banking Compliance risks
  • Assists with budget planning and management and approves expense reports for assigned group
  • Oversees the planning, creation and maintenance of CRA and Fair Banking systems to collect, manage and report information
  • Excellent communications skills both written and verbal the ability to present to all levels of corporate and field leadership
  • Demonstrated experience with Regulatory Inspection Preparation and Regulatory Inspections
4

Senior Manager, Compliance Job Description

Job Description Example
Our growing company is hiring for a senior manager, compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for senior manager, compliance
  • Supports development and implementation of sustainable compliance policies and procedures through 1) translating requirements to process maps and from process flows to procedures
  • Support engagement and processes that enable company to deliver new innovative and compliant products and services, and that supports change
  • Support information management program, including repository that includes compliance policies, procedures, process flows, mapping, reporting, support data and other data deemed necessary based on relevance to compliance, and regulatory requirements
  • Support execution of SBG’s global sanctions compliance program, and all other substantive laws, regulations and third party obligations entrusted to the SBG Global Head of Compliance Execution & Sanctions to ensure compliance
  • Support execution of compliance product governance requirements to help ensure compliant products and services
  • Work closely with compliance risk assurance team in assessing the effectiveness of policies and procedures, technology that relates to or otherwise supports compliance
  • Collaborate with cross functional teams to review architectural and design changes to ensure conformity, compliance, and contractual requirements
  • Work with customers to complete third party audits
  • Review customer contracts and work with internal teams to meet contractual requirements
  • Required to lead OTC Derivatives and FX Spot compliance with the Private Client Group and also to coordinate OTC Derivatives activities across the organization interacting with senior business persons from RJ Capital Services, RJ Bank, Fixed Income and Equity Capital Markets
Qualifications for senior manager, compliance
  • Minimum of 6 years’ experience as a legal or compliance professional performing end-to-end compliance investigations and designing and implementing processes that enhance and encourage ethical behavior
  • Minimum of 2 years’ experience in healthcare or pharmaceutical industries dealing with federal healthcare program laws including, but not limited to Anti-Kickback Statute, False Claims Act, Civil Monetary Penalty Law, Stark Law
  • Superior documentation and communication skills required
  • Ultimate team player with strong interpersonal skills
  • Master’s degree & 4 years of Regulatory, Compliance or Legal experience
  • Bachelor’s degree & 6 years of Regulatory, Compliance or Legal experience
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Senior Manager, Compliance Job Description

Job Description Example
Our growing company is hiring for a senior 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 senior manager, compliance
  • Analyze complex data for concentration, risk and exposure reporting to the CCO, senior management, regulators and auditors
  • Post-secondary education plus CPA, CFA or other industry related designations (or working towards)
  • Strong MS Office skills, experience with MS Excel a must
  • Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment
  • Working closely with the Sub-Contractor Manager, Performance Manager, Engineering Managers and the Head of Operations in a safe, cost, effective manner
  • Line manage the Compliance team effectively and complete PADP’s to enhance the capabilities of the team
  • To manage the development and maintenance of a data base for O&M manuals and documents including the F-Gas register
  • Manage and maintain the Contract Asset Registers, and provide a comprehensive planning service to Engineering and User Departments
  • Develop and maintain an effective comprehensive PPM system to maximise asset life and supply 52 week planners for all sites within the contract scope
  • Carry out all reasonable and lawful management instructions and cooperate with all departments to ensure IFM are working in a safe compliant manner
Qualifications for senior manager, compliance
  • Bachelor’s degree and 5-10+ years of direct experience in compliance is required
  • Experience in designing and executing compliance based risk assessments and related mitigation strategies
  • Excellent working knowledge of anti-bribery / anti-corruption law (e.g., FCPA, UK Bribery Act, ), business and financial controls, AML requirements, and global corporate governance principles
  • Sarbanes-Oxley (SOX) Section 404, and COSO Internal Controls Framework, Enterprise Risk Framework and risk assessment practices
  • Be experienced in engaging and challenging business areas on their compliance and conduct issues
  • Have strong communication skills, both written and verbal, and the ability to learn new information quickly and to seek further guidance when required

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