Regulatory Compliance Manager

2 days ago


New York, New York, United States LevelUP HCS Full time

At LevelUP HCS, we are seeking an experienced Regulatory Compliance Manager to join our team. This is a challenging role that requires strong leadership and technical skills.

The estimated salary for this position is around $120,000 - $180,000 per year, depending on experience and qualifications.

About the Role

We are looking for a highly skilled professional to manage and execute compliance testing programs across the organization. The ideal candidate will have a strong understanding of complex financial regulations and legal issues, as well as excellent organizational, analytical, and communication skills.

In this role, you will be responsible for:

  • Maintaining and enhancing the Compliance Monitoring Program (CMP) policies, procedures, and protocols to ensure adherence to regulatory rules, regulations, and best practices.
  • Preparing detailed workpapers to support the results of reviews.
  • Collaborating with key internal teams, including Risk & Governance and Internal Audit, to ensure alignment and efficiency within the program.
  • Developing and/or enhancing CMP management reporting, providing regular updates to Senior Compliance Officers or Oversight Committees.
  • Executing CMP testing in coordination with relevant business lines and Internal Audit, ensuring deadlines are met and results are actionable.
  • Leading coordination of CMP efforts across Compliance Officers, ensuring the program is well-understood, running smoothly, and all components are working together.
  • Managing key CMP projects and initiatives, ensuring successful implementation.
Requirements

To be successful in this role, you will need:

  • A BS/BA degree or equivalent work experience required; JD preferred.
  • 10+ years of relevant work experience in compliance or regulatory roles.
  • Prior experience in a large financial organization is strongly preferred.
  • Strong understanding of complex financial regulations and legal issues.
  • Excellent organizational, analytical, and communication skills (both written and verbal).
  • Proficiency in Excel and SharePoint.
  • In-depth knowledge of the securities industry and current regulatory requirements.
About Us

LevelUP HCS is a dynamic and innovative company that is passionate about delivering high-quality services to our clients. We offer a competitive salary and benefits package, as well as opportunities for professional growth and development.



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