Senior Manager Compliance Programs

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Job Description:

What You’ll Do

The Senior Manager - Compliance Monitoring and Testing is responsible for administering and executing the Compliance Testing Program within Corporate Compliance. The program is designed to promote compliance with applicable laws and regulations by facilitating early identification and effective mitigation of compliance risk. The position requires substantial experience in the design and execution of compliance testing and reporting, as well as regulatory compliance knowledge and expertise.

Develops and coaches teams to be able to identify, manage, and escalate risk, and effectively manages risk within the teams you oversee.

How You’ll Do It

• Manages a team responsible for completing assigned regulatory compliance reviews.
• Provides support during fieldwork to team to ensure proper understanding of regulatory requirements and ensure testing is adequately designed to identify non-compliance with laws and regulations.
• Conducts meetings with stakeholders and other internal partners regarding potential issues and status of assigned compliance review.
• Assist Director with finalizing findings including effective challenge of root cause analysis and corrective action plans and assignment of risk ratings.
• Drafts formal report of findings.
• Manages a team that maintains and enhances regulatory and compliance program components. Provides support, coaching, and counsel to the team. Manages the development of team members by authoring and assigning goals, conducting periodic coaching and feedback reviews, and administering annual performance evaluations.
• Engages with business and risk partners to develop compliant solutions to mitigate and remediate compliance risks; escalates risks appropriately
• Lead and manage cross functional work groups and workstreams from multiple first line and second line business units.
• Provides support, coaching, and counsel to the team. Manages the development of team members by authoring and assigning goals, conducting periodic coaching and feedback reviews, and administering annual performance evaluations.
• Creates and updates status reports of program initiatives, activities, and compliance risks to management and committees 

Qualifications You’ll Need
The Basics

• Bachelor’s degree in business administration and management, Security and Intelligence, Law, Information Technology, Analytics, Finance or related.
• 8+ years understanding of Compliance Management System and ability to implement and manage a compliance risk management program.
• In lieu of education experience 10+ years understanding of Compliance Management System and ability to implement and manage a compliance risk management program.

Physical and Cognitive Requirements
The physical requirements described here are representative of those that must be met by an employee to successfully perform the essential functions of this position. Reasonable accommodations may be made to enable a qualified individual with disabilities to perform the essential functions of the position as required by federal, state, and local laws:

Does this job require remaining in a stationary position, including but not limited to, primarily sitting and standing?  Primarily remain in a stationary position.

Does this job require the ability to move about inside or outside the work environment to complete the major responsibilities of the job? No required movement about the work environment to complete the major responsibilities of the job.

Does this job require the ability to transport physical objects? If so, provide the weight of the heaviest object the job needs to transport without the aid of machinery or equipment or the weight equivalency with the aid of machinery or equipment. No

Primarily, where is this job performed? Primarily performed indoors in an office setting.

Does this job require the ability to operate equipment or machinery? Select all that apply. Ability to operate office equipment such as but not limited to computer, telephone, printer, and calculator.