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Compliance Manager

The Compliance Manager conducts periodic internal reviews or company audits to ensure that the firm is compliant with laws, rules and regulations. They direct internal investigations, assess products and develop risk management strategies to ensure compliance.

Key Responsibilities

  • Creates and reviews regulatory compliance documentation
  • Coordinates the creation, review and implementation of policies and procedures resulting from new laws and regulations
  • Applies and interprets audit and compliance requirements for various departments
  • Works closely with the compliance director and other senior executives
  • Designs and coordinates the preparation and ongoing review of policies, procedures, training materials and other communication tools to ensure departments meet compliance requirements
  • Coordinates regulatory exams and internal business unit audits
  • Interacts with external auditors on matters related to audits of the organization’s internal controls
  • Establishes self-audit and compliance monitoring programs
  • Reviews and assesses potential fraud activity and developing fraud detection tools
  • Files regulatory reports and other documentation
  • Trains of new or updated policies and directives when required

Job Requirements/Qualifications:

  • Bachelor’s in law, finance, business administration or similar related field
  • Thorough knowledge and understanding of the industry’s regulations and best practices
  • Hands-on experience with a variety of reporting operations and procedures
  • Ability to multitask and work for longer periods when needed

Skills needed for this role

The Compliance Manager must have strong interpersonal and communication skills, critical and problem-solving skills, and good organizational and time-management skills. Having leadership skills and motivating employees are also essential for this role.

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