Senior Compliance Manager Job Description
Senior compliance manager
provides compliance expertise and oversight to all areas of collections operations including first party internal collections centers, offshore service partners, and third party agencies relative to Federal and state laws, rules and regulations to include but not limited to FDCPA, TCPA, FCRA, SCRA, UDAAP and CFPB.
Senior Compliance Manager Duties & Responsibilities
To write an effective senior compliance manager job description, begin by listing detailed duties, responsibilities and expectations. We have included senior compliance manager job description templates that you can modify and use.
Sample responsibilities for this position include:
Form and lead cross-functional teams in the design and implementation of end-to-end due diligence processes across the J&J supply base to ensure compliance with increasing regulations, such as U.S. Dodd-Frank Conflict Minerals, U.K
Manage compliance reporting
Assist in drafting, preparing and filing Form ADV Parts I and II and other required filings
Assist in conducting the firm's annual risk assessment and help identify potential conflicts and risk areas within various business units
Maintain and update the firm’s Compliance Manuals
Monitor and supervise personal trading accounts, outside business activities and internal email communications
Assist with annual due diligence on all third party service providers
Review and supervise sales literature and advertising to ensure compliance with the rules
Assist with general compliance duties as needed
Proactively represent Compliance in assigned business change activity within the above business line to ensure that any changes to operating models are fully assessed from a regulatory perspective
Senior Compliance Manager Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Senior Compliance Manager
List any licenses or certifications required by the position: CPA, CISA, CRCM, MBA, CISSP, CIA, CISM, PCI, OGA/PGA, ISO
Education for Senior Compliance Manager
Typically a job would require a certain level of education.
Employers hiring for the senior compliance manager 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 Compliance Manager
Desired skills for senior compliance manager include:
Regulations
FCRA
FINRA
Risk and applicable regulatory requirements
TILA
UDAAP
Business processes and structure within an insurance environment
Commercial
Consumer lending
FDCPA
Desired experience for senior compliance manager includes:
Previous AML Compliance experience and expertise - ideally within a global banking or consulting environment
Knowledge of the relevant AML / CTF regulatory requirements for Australia
Support the Head of Compliance in maintaining strong relationship with all regulatory agencies, including the relevant Fraud Investigation Units
Quality Assurance - Manages Quality Assurance audits and serves as insurance liaison for banking exams, system testing and implementation
Policy/Forms - Manages state and provincial policy/form/rate filings and regulatory review, product implementation and fulfillment for Insurance
A minimum of 7 - 10 years experience within the Funds industry
Senior Compliance Manager Examples
1
Senior Compliance Manager Job Description
Job Description Example
Our company is growing rapidly and is looking for a senior compliance manager. 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 compliance manager
- Monitors changes, and proposals to change, laws and regulations relevant to the EMEA Communications issued by T
- To review and ensure that all promotional materials and advertisements are in compliance to the Guidelines
- To review all the prospectuses (for existing and new funds) and the interim and annual fund’s report
- To review and improve the regulatory and operating compliance standards of the Company’s work processes and operations
- To provide assistance and advice to other department heads on all matters pertaining to unit trust operations, accounting, sales and marketing and any matters relating to the business of the company
- To assist in dealing with the Securities Commission, the Trustee and the Syariah Adviser for all compliance matters and submissions
- To assist in preparation of compliance report for all local reporting including Board of Directors meetings and Investment Committee meetings
- Oversee and perform internal, external and customer audits as per audit plan for identification of opportunities for continuous improvement of the Quality System
- Execute the duties of the position such that the focus is largely proactive versus reactive
- Train and develop a knowledgeable, compassionate exam staff on all aspects of completing examinations including appropriate field approach, understanding and sharing of firm/industry risk, report writing, interviewing skills, pre-examination requirements, escalation protocol
Qualifications for senior compliance manager
- Strong product knowledge of either Cash Equities, Prime Finance or Derivatives
- Preference will be given to candidates with experience in information technology as it relates to equity trading
- A minimum of 4 years experience within Equities Compliance within a financial institution, regulator and/or similar environment
- Minimum of 7 years of relevant HR experience, Compliance background an asset
- Senior Project Managers manage change through projects which are established to deliver a specific outcome, on time and on budget
- Minimum 5-10 years of experience in internal investigations and supporting an ethics & compliance program
2
Senior Compliance Manager Job Description
Job Description Example
Our innovative and growing company is looking for a senior compliance manager. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for senior compliance manager
- Proactively manage various compliance disclosures and concerns
- Partner with executives and functional business area representatives to improve their understanding of strategic and operational compliance
- Assist in the establishment of a comprehensive global vendor due diligence and compliance management program and conduct due diligence activities
- Provide compliance guidance on key projects and in multidisciplinary working groups
- Define scope and negotiate contracts with third party vendors
- Execution of risk-based internal testing programs relative to Trusts, Mutual Funds, Investment Advisers, Principal Underwriters/Distributors, Separate Accounts (Variable Annuities and Variable Life products/operations) and other internal service providers
- Provides oversight of review and support of corrective and preventative action deliverables to ensure highest level of operational excellence and timely compliance
- Works with global and/or across business units to implement new global or local Inspection Readiness and Corrective and Preventative Action (CAPA) management processes
- Works with US Medical Affairs Compliance and Regional PV Excellence Leader to perform and follow up on monthly compliance checks
- Determines resourcing across compliance-focused staff within USDS CAT
Qualifications for senior compliance manager
- Provides support to ensure assigned area is aligned to regulatory requirements, the CRMP Manual and other Group policies
- Actively participating in global conferences, panels, and trade organizations
- Fluent written and verbal skills are needed in both Chinese and English
- Knowledge of the regulatory regime throughout Asia, including China, Taiwan and South Korea, is preferred
- High degree of professionalism and integrity with demonstrated ability to handle confidential issues in a professional manner
- Experience providing effective compliance training and to develop developing training materials within prescribed frameworks
3
Senior Compliance Manager Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of senior compliance manager. 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 compliance manager
- Provide high-quality consultation to technology and business partners, demonstrating a high level of functional and/or project management expertise in their assigned domain (CRM, Lead-to-Cash, Marketing, Finance, HR, and/or Legal)
- Conduct frequent business reviews to ensure solutions and projects deliver the expected business outcomes while continuing to raise the bar on quality standards and best practices for solution development and project management
- Conducting complex investigations, including interviews, assessing risk, reviewing documentation, and making recommendations in the context of an investigation
- Review threat and security events which may affect the organization, and develop safeguards to protect the organization from those events.Report out to management
- Complete self-risk assessments with recommendations for remediation and socialize with management
- Partner with Internal Audit team to complete annual and other audits
- Lead the Incident Response Team for both proactive/training sessions actual events
- Management of IT security vendors
- Responsible for secure network device management/configuration
- Oversee the filing of marketing state initial registrations, deficiency responses, amendments, and renewals, the preparation of documents/exhibits
Qualifications for senior compliance manager
- Experience performing compliance reviews, developing findings and recommendations, and independently manage compliance-related projects
- Manages specialized monitoring projects identified by the CFBC business specialists
- Minimum of five (5) years’ experience in business setting with health care industry experience preferred
- Previous large consulting, accounting firm, government and/or healthcare industry experience
- Coding and / or audit experience preferred
- Ability to prioritize and organize work for self and others to deliver on commitments to achieve results
4
Senior Compliance Manager Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of senior compliance manager. 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 compliance manager
- Work cross-organizationally to develop commercial information security programs, strategies and capabilities to meet compliance standards
- Examples include offering internal management consultancy advice and practical assistance on information security risk and control matters throughout the organization and promoting the commercial advantages of managing information security and operational compliance risks in a more efficient and effective manner
- May oversee compliance exception reporting processes and take appropriate action, as required
- May draft and update written supervisory procedure manuals required by the SEC
- Continually evaluates the department structure and strategic plan, considering future growth
- Manage all components of a review (including scope and approach) and members of the review team to ensure that reviews are delivered to the expected quality within the agreed timeframe
- Promote a proactive compliance culture, delivering advice and guidance to the business/support functions
- Build and maintain a network of relationships with business partners
- Serves as source of subject matter compliance expertise, participating in resolving compliance issues and promoting effective and consistent management of compliance risks
- Help ensure lines of communication between the departments and business units/entities executing compliance requirements remain open and aligned with processes to gain efficiencies, avoid unnecessary redundancies, and are aligned to business and customer risk profile
Qualifications for senior compliance manager
- Associate’s degree & 10 years of Regulatory, Compliance or Legal experience
- Minimum 3 years of compliance related working experience in insurance or financial services sector (experience of audit / risk management or from regulatory institutions can also be considered)
- Sound knowledge of regulatory requirements of life and general insurance, including licensing, data protection, anti-money laundering, anti-bribery, product compliance
- At least 5 years of experience in compliance, or at least 5 years of experience in legal, or at least 5 years of experience in controls, or at least 5 years of experience in audit, specifically within AML
- 7 years of experience in compliance, or 7 years of experience in legal, or 7 years of experience in controls, or 7 years of experience in audit, specifically within AML
- CRCM certification or ACAMS certification
5
Senior Compliance Manager Job Description
Job Description Example
Our growing company is looking for a senior compliance manager. 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 compliance manager
- Ensure all readings logged, within paperwork, are with acceptable parameters or tolerances where applicable
- Make sure all related paperwork is stored in the designated location
- Take the lead, with assistance from the Engineering Managers, with the dissemination of good working practises or changes of legislation where applicable
- Be responsible to ensure that sub-contractors Risk Assessments and Method Statements (RAMS) are reviewed and fit for purpose
- Giving feedback on findings
- Take responsibility to ensuring you have the correct levels of access to IFM’s Computer Aided Facilities Management (CAFM) system for you to carry out the audits required to ensure compliance
- Monitor and report the progress of any corrective action notices you have issued to either our subcontractors or Operatives/employees
- Analyse data from CAFM system to determine audit programmes, trends and to predict possible future performance/delivery issues
- Maintaining your technical knowledge by keeping up-to-date with changes to ACOPS and legislation
- Carry out in process audits on PPE, equipment, work areas and paperwork
Qualifications for senior compliance manager
- Understanding of associated legislation - Affordable Care Act (ACA), Medicare Access and CHIP Re-authorization Act (MACRA)
- MA or MS degree in Information Technology or a related field
- Experience with assisting or managing QA audits and inspections interfacing with regulatory agencies
- Incumbent will travel out of office approximately 50% of the time depending on business needs
- Oversight of the regulatory change management program for institutional rules for the Compliance department
- Distill and communicate key industry news to executive leadership as needed