Regulatory Compliance Manager
2 days ago
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 RoleWe 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.
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.
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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