Compliance Manager

General Purpose

To manage and execute on various aspects of the Company's compliance program and other tasks/matters as assigned from time to time by the Deputy Chief Compliance Officer, Chief Compliance Officer, or other senior members of the Compliance Department, including without limitation with respect to the Company's compliance hotline.

Essential Duties

1.

Compliance Hotline Management: Manage the Company's compliance hotline, including intake, preliminary review, and completion of claim reports, as well as tracking and reporting on related matters, all as designated from time to time by supervisor.
2.

Compliance Program Execution: Lead or assist on other aspects of the Company's compliance program as assigned from time to time by supervisor, including but not limited to:


* Policy & Procedure Implementation: Support the development, review, and implementation of compliance policies, procedures, and controls to ensure adherence to relevant laws, regulations, and internal standards.


* Training & Awareness: Assist in the creation, delivery, and tracking of compliance training programs and communications to foster a strong culture of compliance across the organization.


* Risk Monitoring & Assessment: Participate in identifying, assessing, and monitoring compliance risks, helping to implement mitigation strategies and controls.


* Regulatory Research: Conduct research on new or changing laws, regulations, and industry best practices relevant to the Company's operations, and summarize findings for senior compliance leadership.


* Internal Investigations Support: Provide support for internal compliance investigations, including gathering information, documenting findings, and assisting with remediation efforts.


* Audit & Reporting Assistance: Assist with internal and external audits related to compliance, preparing necessary documentation and contributing to compliance reports for management and regulatory bodies.


* Documentation & Record Keeping: Maintain accurate and organized records of compliance activities, policies, training, and investigations in accordance with established protocols.


* Cross-Functional Collaboration: Collaborate effectively with various departments (e.g., Legal, Internal Audit, Operations, HR) to embed compliance requirements into business processes.

Education & Experience Qualifications



* Bachelor's degree in a relevant field such as Business Administration, Finance, Law, or a related discipline.


* 3-5 years of experience in a compliance, audit, legal, or regulatory role, preferably within a regulated industry.


* Demonstrated understanding of regulatory requirements and compliance best practices.


* Relevant professional certifications (e.g., CCEP, CFE, CRM) are a plus.

Skills



* Strong analytical and critical thinking skills with the ability to interpret complex regulations and data.


* Excellent written and verbal communication skills for prepar...