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Manager of Compliance in Financial Services

2 months ago

Washington, Washington, D.C., United States augmentjobs Full time
Job Overview

Position Summary: We are looking for a skilled and meticulous Compliance Manager in the financial services sector to become a vital part of our organization. This position is essential for guaranteeing that our financial operations comply with all relevant laws, regulations, and internal standards. The Compliance Manager will take charge of compliance initiatives, perform audits, and offer insights on regulatory matters.

Core Responsibilities:

  • Regulatory Monitoring: Keep track of and analyze current and forthcoming regulatory developments to ensure the organization meets federal, state, and industry compliance requirements.
  • Compliance Initiatives: Design, execute, and uphold compliance programs and policies, including anti-money laundering (AML), know your customer (KYC), and other pertinent practices.
  • Risk Evaluation: Conduct frequent risk evaluations to pinpoint potential compliance vulnerabilities and propose strategies for mitigation.
  • Training and Education: Develop and implement compliance training sessions for staff to improve their understanding of regulatory obligations and internal policies.
  • Audits and Reviews: Organize and perform internal audits and reviews to verify compliance with established standards. Generate comprehensive reports and action plans based on audit outcomes.
  • Compliance Reporting: Prepare and deliver necessary compliance documentation to regulatory authorities and senior leadership. Ensure prompt and precise reporting of compliance-related matters.
  • Advisory Function: Serve as a resource for compliance-related questions and provide counsel to various departments on regulatory issues.
  • Ongoing Enhancement: Remain informed about industry trends and best practices to continuously refine compliance processes and protocols.

Required Qualifications:

  • Bachelor's degree in Finance, Accounting, Business Administration, or a related discipline. A Master's degree or professional certification (e.g., Certified Compliance and Ethics Professional (CCEP), Certified Regulatory Compliance Manager (CRCM)) is advantageous.
  • At least 5 years of experience in financial services compliance, demonstrating a successful history in managing compliance initiatives and conducting audits.
  • In-depth knowledge of financial regulations and standards, including AML, KYC, and data protection laws.
  • Strong analytical, problem-solving, and organizational capabilities.
  • Outstanding communication and interpersonal skills, with the ability to collaborate effectively with senior leadership and regulatory agencies.
  • High integrity and meticulous attention to detail.

Employee Benefits:

  • Competitive salary along with performance-based incentives.
  • Comprehensive health, dental, and vision coverage.
  • Retirement savings plan with employer matching.
  • Generous paid time off and holiday policy.
  • Opportunities for professional development and career advancement.