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Compliance Manager, Senior

2 months ago

Miami, United States FIS Full time

Position Type :

Full time

Type Of Hire :

Experienced (relevant combo of work and education)

Education Desired :

Bachelor of Business Administration

Travel Percentage :

5 - 10%

Job Description

As the world works and lives faster, FIS is leading the way.  Our fintech solutions touch nearly every market, company and person on the planet. Our teams are inclusive and diverse. Our colleagues work together and celebrate together. If you want to advance the world of fintech, we’d like to ask you: Are you FIS?

About the role:
We are looking for the right candidate to join our Global Regulatory Compliance (GRC) team to focus on coverage of our non-regulated Trading & Asset Services solutions in our Capital Markets business segment.  This is an exciting opportunity to join the FIS GRC Capital Markets team to work on a broad range of global regulatory matters across the business. The role requires an experienced Regulatory Compliance professional with a solid understanding of the securities industry, buy-side and sell-side. The role will report to the Senior Director, GRC – Capital Markets. 

About the team:  
The FIS Global Regulatory Compliance Team is part of FIS’ Legal, Compliance and Corporate Affairs (LCCA) organization. Comprised of compliance professionals with global regulatory experience, we partner with the business to support responsible growth and work collaboratively with each other and with our business colleagues to solve problems in an effective and pragmatic manner. This role will have specific  compliance oversight responsibility for  the Trading and Asset Services business units in Capital Markets.

What you will be doing:

•  Maintains knowledge of applicable laws and regulations.

 Monitors and communicates regulatory changes that impact FIS products, services and business activities.
• Oversees development and implementation of compliance program policies, playbooks and standards as well as addressing other required regulatory policies.
• Responds to issues and matters pertaining to regulatory compliance of FIS products, services and business activities.
• Performs periodic reviews, compliance risk assessments and evaluations of FIS products, services and business activities to validate compliance with applicable laws and regulations or detect regulatory violations, weak controls or other potential areas of exposure.
• Creates and delivers training to other business areas to increase compliance awareness.
• Offers guidance on implementing regulatory changes.
• Provides compliance reviews and direction for new and expanding products and services.
• Meets with business unit Compliance Officers on a regular basis for status updates on compliance issues.
• Monitors line of business compliance activities to verify that regulatory compliance deadlines and requirements are met.
• Identifies areas of potential improvement.
• Assists the business with responses to customer compliance-specific questions and concerns.
• Prepares internal  compliance communications covering compliance issues and regulatory developments (compliance summaries,  white papers, monthly reports, etc.)
 

What you will need:

• Bachelor’s Degree in a relevant field

• You will be a compliance professional with 5-7 years of management experience in the capital markets industry.

• Broad-based, knowledge of global securities industry regulations and a  demonstrated track record of advising on complex multi-faceted regulatory issues.  

• Strong communication, research, writing, and analytical skills, including drafting of compliance summaries and White Papers.

• Skilled in prioritizing and managing multiple projects efficiently and driving complex projects to completion.

• A team player who recognizes the importance of partnership and collaboration to achieve common goals.  
 

Added bonus if you have:

•   Solid trading operations and asset management experience.

•    Strong understanding of securities regulations and regulatory authorities worldwide

•    Hold/previously held  FINRA Series 7, 63 and 24 licenses


What we offer you:
At FIS, you can learn, grow and make an impact in your career. Our benefits include:  

  • Flexible and creative work environment 
  • Diverse and collaborative atmosphere  
  • Professional and personal development resources 
  • Opportunities to volunteer and support charities 
  • Competitive salary and benefits


FIS is committed to providing its employees with an exciting career opportunity and competitive compensation. The pay range for this full-time position is $123, - $207, and reflects the minimum and maximum target for new hire salaries for this position based on the posted role, level, and location. Within the range, actual individual starting pay is determined additional factors, including job-related skills, experience, and relevant education or training. Any changes in work location will also impact actual individual starting pay. Please consult with your recruiter about the specific salary range for your preferred location during the hiring process.

Privacy Statement

FIS is committed to protecting the privacy and security of all personal information that we process in order to provide services to our clients. For specific information on how FIS protects personal information online, please see the .

EEOC Statement

FIS is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, marital status, genetic information, national origin, disability, veteran status, and other protected characteristics. The EEO is the Law poster is supplement document


For positions located in the US, the following conditions apply. If you are made a conditional offer of employment, you will be required to undergo a drug test. ADA Disclaimer: In developing this job description care was taken to include all competencies needed to successfully perform in this position. However, for Americans with Disabilities Act (ADA) purposes, the essential functions of the job may or may not have been described for purposes of ADA reasonable accommodation. All reasonable accommodation requests will be reviewed and evaluated on a case-by-case basis.

Sourcing Model

Recruitment at FIS works primarily on a direct sourcing model; a relatively small portion of our hiring is through recruitment agencies. FIS does not accept resumes from recruitment agencies which are not on the preferred supplier list and is not responsible for any related fees for resumes submitted to job postings, our employees, or any other part of our company.

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