Financial Services Compliance Manager
Financial Services Compliance Manager
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Job Description
THIS JOB CAN BE FOUND ON OUR EXCLUSIVE JOB BOARD IT IS NOT A DIRECT ROLE AT AUGMENT JOBS.
Position Overview: We are seeking an experienced and detailoriented Financial Services Compliance Manager to join our team. This role is crucial for ensuring that our financial services operations adhere to all applicable laws regulations and internal policies. The Compliance Manager will be responsible for overseeing compliance programs conducting audits and providing guidance on regulatory issues.
Key Responsibilities:
- Regulatory Oversight: Monitor and interpret current and upcoming regulatory changes to ensure the companys compliance with federal state and industry regulations.
- Compliance Programs: Develop implement and maintain compliance programs and policies including antimoney laundering (AML) know your customer (KYC) and other relevant practices.
- Risk Assessment: Conduct regular risk assessments to identify potential compliance risks and recommend mitigation strategies.
- Training and Development: Create and deliver compliance training programs for employees to enhance their understanding of regulatory requirements and company policies.
- Audits and Investigations: Coordinate and conduct internal audits and investigations to ensure adherence to compliance standards. Prepare detailed reports and action plans based on audit findings.
- Reporting: Prepare and submit required compliance reports to regulatory bodies and senior management. Ensure timely and accurate reporting of compliancerelated issues.
- Advisory Role: Act as a point of contact for compliancerelated inquiries and provide guidance to departments on regulatory matters.
- Continuous Improvement: Stay updated with industry trends and best practices to continually improve compliance processes and procedures.
Qualifications:
- Bachelors degree in Finance Accounting Business Administration or a related field. A Masters degree or professional certification (e.g. Certified Compliance and Ethics Professional (CCEP) Certified Regulatory Compliance Manager (CRCM)) is a plus.
- Minimum of 5 years of experience in financial services compliance with a proven track record in managing compliance programs and conducting audits.
- Strong knowledge of financial regulations and standards including AML KYC and data protection laws.
- Excellent analytical problemsolving and organizational skills.
- Exceptional communication and interpersonal skills with the ability to work effectively with senior management and regulatory bodies.
- High level of integrity and attention to detail.
Benefits:
- Competitive salary and performancebased bonuses.
- Comprehensive health dental and vision insurance.
- Retirement savings plan with company match.
- Generous paid time off and holiday schedule.
- Professional development opportunities and career growth support.
Employment Type
Full Time
