Financial Compliance Manager

1 month ago

Austin, United States augmentjobs Full time
Job DescriptionJob DescriptionJob Title: Financial Compliance Manager Job Summary:

The Financial Compliance Manager will oversee and ensure the organization's adherence to financial regulations, policies, and internal controls. This role involves developing and implementing compliance programs, conducting audits, and providing guidance on regulatory requirements. The Financial Compliance Manager will work closely with finance, legal, and operational teams to mitigate compliance risks and ensure the integrity of financial reporting and operations.

Responsibilities:
  • Develop, implement, and maintain financial compliance programs and policies to ensure adherence to relevant laws, regulations, and industry standards.
  • Monitor and assess the organization's financial practices and internal controls to ensure compliance with regulatory requirements.
  • Conduct regular internal audits and reviews to identify potential compliance issues, inefficiencies, and areas for improvement.
  • Prepare and present compliance reports, findings, and recommendations to senior management and the board of directors.
  • Provide guidance and training to employees on compliance matters, including financial regulations, internal controls, and company policies.
  • Stay updated on changes in financial regulations, industry standards, and best practices to ensure the organization remains compliant with current requirements.
  • Coordinate with external auditors, regulatory agencies, and legal advisors to address compliance issues and facilitate audits.
  • Develop and implement corrective action plans to address identified compliance deficiencies and ensure timely resolution.
  • Monitor and manage compliance-related documentation, including reports, records, and correspondence.
  • Evaluate and enhance the effectiveness of compliance programs and controls through continuous improvement initiatives.
  • Assist in the preparation of regulatory filings and documentation required by government agencies and financial institutions.
Qualifications:
  • Bachelor's degree in Finance, Accounting, Business, or a related field; CPA, CMA, or relevant advanced certification is preferred.
  • 5-7 years of experience in financial compliance, internal audit, or a related role, with a strong understanding of financial regulations and compliance requirements.
  • Proven track record of managing compliance programs, conducting audits, and providing regulatory guidance.
  • In-depth knowledge of financial regulations, including SOX, SEC, GAAP, and industry-specific standards.
  • Strong analytical and problem-solving skills, with the ability to identify and address compliance issues effectively.
  • Excellent communication and interpersonal skills, with the ability to convey complex compliance concepts to various stakeholders.
  • Proficiency in compliance management software, financial analysis tools, and Microsoft Office Suite.
  • Ability to work independently and collaboratively, managing multiple projects and deadlines in a fast-paced environment.
  • Experience in preparing compliance reports, conducting training, and managing external audits.
  • Knowledge of international financial regulations and compliance standards is a plus.

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