Compliance Manager for Financial Services

2 weeks 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 plays a key role in ensuring that our financial operations comply with all relevant laws, regulations, and internal standards. The Compliance Manager will oversee compliance initiatives, perform audits, and offer expert advice on regulatory matters.

Primary Responsibilities:

  • Regulatory Monitoring: Analyze and interpret existing and forthcoming regulatory developments to guarantee the organization’s adherence to federal, state, and industry-specific regulations.
  • Compliance Initiatives: Design, execute, and sustain compliance initiatives and policies, including anti-money laundering (AML), know your customer (KYC), and other pertinent practices.
  • Risk Evaluation: Conduct periodic risk evaluations to pinpoint potential compliance vulnerabilities and propose strategies for mitigation.
  • Training and Education: Develop and present compliance training sessions for staff to improve their comprehension of regulatory obligations and organizational policies.
  • Audits and Reviews: Organize and perform internal audits and reviews to confirm compliance with established standards. Generate comprehensive reports and action plans based on audit outcomes.
  • Reporting Obligations: Prepare and submit necessary compliance documentation to regulatory authorities and senior leadership. Ensure timely and precise reporting of compliance-related matters.
  • Consultative Role: Serve as a resource for compliance-related questions and provide direction to various departments on regulatory issues.
  • Ongoing Enhancement: Remain informed about industry trends and best practices to continually 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.
  • A minimum of 5 years of experience in compliance within the financial services industry, 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 schedule.
  • Opportunities for professional development and career advancement.

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