Compliance Manager

***This is a Chicago based role. 

Essential Duties and Responsibilities

As Compliance Manager,  you will maintain effective dialogue with a wide range of corporate and operational stakeholders across the organization to deliver high quality guidance and advice, perform assurance activities and provide appropriate challenges where required and identify risks for escalation to the CCO.  Your responsibilities will include, but are not limited to the following:

• Managing regulatory examinations and reviews, external compliance audits and due diligence requests: communicating, coordinating and delivering on information/due diligence requests from external stakeholders
• RegTech: identifying, implementing and embedding ‘smart’ and effective technology solutions to assist in testing, managing, monitoring and reporting of compliance standards and expectations
• Performing assurance: drive the delivery of routine and ad hoc compliance testing while monitoring risks and controls to provide impactful insights:
• Clearly articulate and document findings including the issue itself, risk impact to the business and root cause
• Escalate significant issues identified in a timely manner to the CCO
• Track remedial actions identified in the course of reviews performed to resolution.
• Delivering advice and guidance: maintain effective and productive dialogue with a wide range of stakeholders across the organization to deliver focused oversight and continuous improvement to all regulatory compliance practices.
• Building and maintaining successful relationships: promoting a compliant and risk aware culture and ensuring key stakeholders understand and have confidence in how we are meeting our regulatory requirements

Key Knowledge, Skills and Experience

• A minimum of 2 years of experience as a professional in compliance programs, enterprise risk, auditing operations, evaluating systems and controls, project management, or other relevant experience
• Good understanding of compliance governance frameworks, standards and expectations
• Detailed knowledge of operational processes and the impact these have in a financial services environment as well as the restrictions and guidelines applied in regulated financial services industries
• Strong team player who is task and outcomes driven, with strong communication and influencing skills and the resilience to cope with senior stakeholders and business partners at all levels of the organization
• Good data visualization skills, able to display data in graphic form, that allows others to quickly find the specific data they seek thereby improving work productivity and efficiency

Experience in:

• Regulatory risk management and control environments
• Third party vendor risk management and oversight
• Consumer regulatory compliance, regulatory reporting, compliance data and technology solutions, and a business understanding of consumer financial services

Last updated on Aug 14, 2024