Overview

Job Description:

Our client, one of the largest privately owned foreign exchange specialists, is looking to hire a Senior Compliance & Regulatory Manager.  The Senior Manager will be reporting to the Chief Compliance Officer.  The Senior Compliance & Regulatory Manager will be responsible for maintaining a program to ensure the business complies with its Compliance & Regulatory obligations.

Responsibilities:

  • Support the Chief Compliance Officer in the operational functioning of the Compliance Department, including responding to law enforcement, regulatory bodies and banking partners.
  • Manage the company’s FI Vertical by conducting client interviews and reviews, presentations, conducting appropriate due diligence and maintenance/enhancements to the risk assessment.
  • Responsible for improving the effectiveness of compliance systems, including but not limited to ComplianceLink and CamTrac, which involves liaising with the appropriate teams (Data Analytics and IT) and vendor management issues.
  • Manage a team of compliance officers and/or compliance analysts; monitor their performance on a continuing basis, taking appropriate steps to improve team’s effectiveness.
  • Develop, initiate, maintain, and revise policies and procedures for the general operation of the Compliance Program.
  • Collaborate with other departments (e.g., Risk Management, Internal Audit, IT Product Development, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
  • Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues, including training materials and delivery for staff.
  • Provide reports on a regular basis to the CCO to ensure that the CCO is informed of the operation and progress of compliance efforts. 

Qualifications/Skills:

  • 7+ years’ minimum of demonstrated experience in a similar role
  • Post-secondary degree in Business/Commerce
  • Experience in the financial/banking industry would be an asset.
  • Ability to travel 25% of the time
  • Good organizational skills
  • Detail oriented with demonstrated levels of accuracy
  • Good written and verbal communication
  • Able to follow policies and procedures and understand operational risks.

Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com

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