Senior Compliance Manager - Financial Institution

Responsibilities:

Compliance Program Management:

- Develop, implement, and maintain a comprehensive compliance program that aligns with industry best practices and regulatory requirements.

- Conduct regular compliance risk assessments to identify potential areas of non-compliance.

- Design and implement effective compliance controls to mitigate identified risks.

- Stay up-to-date on evolving regulations and industry standards and update the compliance program accordingly.

- Ensure effective communication and training on compliance policies and procedures across the organization.

Compliance Risk Management:

- Proactively identify, assess, and prioritize potential compliance risks.

- Develop and implement risk mitigation strategies to minimize the likelihood and impact of compliance violations.

- Monitor compliance activities and investigate potential breaches.

- Report on compliance risks and mitigation efforts to senior management.

Compliance Oversight & Enforcement:

- Oversee compliance activities across different departments within the organization.

- Conduct compliance audits and investigations to ensure adherence to policies and regulations.

- Develop and implement disciplinary actions for non-compliance.

- Work collaboratively with various departments (e. g. , legal, finance, operations) to ensure compliance integration.

Communication & Collaboration:

- Effectively communicate complex compliance concepts and regulations to both technical and non-technical audiences.

- Collaborate effectively with internal and external stakeholders, including regulators and legal counsel.

- Develop and deliver training programs on compliance policies and procedures.

Qualifications:

- Minimum of 3-5+ years of experience in a senior compliance role within a corporation, financial institution, or consulting firm.

- Proven track record of developing, implementing, and managing effective compliance programs.

- In-depth knowledge of relevant laws, regulations, and industry standards applicable to your company's operations.

- Strong understanding of compliance risk management principles and methodologies.

- Excellent analytical and problem-solving skills.

- Strong communication, interpersonal, and collaboration skills.

- Ability to work independently, manage multiple priorities, and meet deadlines effectively.

- Proficient in Microsoft Office Suite (Word, Excel, PowerPoint).