Job Description:

Our client, a financial services firm, is seeking a Compliance Manager to join their team.  This position is responsible for the management of the Business Compliance Program for the company under the Compliance Risk Management program. This individual will provide an ongoing assessment of regulatory risks posed to the organization and its business strategies, assist in establishing products, policies, procedures and controls to manage those risks. This incumbent will ensure sound regulatory risk management of a very broad range of diverse regulatory compliance areas.


  • Administer the bank wide regulatory compliance program as established by Corporate Compliance
  • Ensure that changes in laws and regulations are promptly communicated to business units.
  • Ensure that all changes are adequately analyzed to determine impact on products, policies, procedures and systems as well as administer the New Product Development Committee.
  • Monitor and ensure necessary changes incurred by new or revised laws and regulations impacting the compliance areas are communicated to business units.
  • Assist with the management and coordination of regulatory examinations by federal regulators, or other internal or external auditors.
  • Ensure that status of any necessary corrective action by either Audit, Regulatory Risk Testing or external regulators is adequately monitored and attended to.
  • Provide technical assistance, training, information and analysis to compliance personnel as well as to the business units.
  • Provide oversight to training program and facilitate as needed.
  • Inform Chief Corporate Compliance Officer of all significant compliance issues.
  • Serve and advise in companywide task forces charged with addressing major compliance issues.
  • Coordinate with business unit managers/executives regarding complex compliance issues as well as with Corporate Compliance Managers
  • Prepare and present reports to executive management regarding the status of specific compliance issues or program status.
  • Ensure staff members adhere to established policies, procedures and controls.
  • Administer the service provider program and due diligence requirements in conjunction with Corporate Compliance.
  • Administer and coordinate financial compliance function within the company in coordination with Corporate Compliance.
  • Manage actions and resolutions of risk assessment matters.
  • Administer the Bank’s Regulation O and related parties responsibilities in conjunction with Corporate Compliance.
  • Coordinate the Financial Compliance function in coordination with the Corporate Financial Compliance Manager

Skills, Knowledge & Attributes Required:

  • Proven leadership high level of initiative and the ability to make strategic, results-oriented decisions.
  • Effective organizational, oral and written communication skills.
  • Strong presentation and project management skills.
  • Ability to understand, analyze and articulate complex laws and regulations
  • Strong business focus with demonstrated ability to act in partnership with management teams.
  • Ability to effectively direct and positively influence staff, supervise and coordinate multiple projects simultaneously, managing time and resources to ensure work is completed efficiently and within established timeframes.
  • Effectively deal with changing work environments.
  • Computer literate with an understanding of database technology.
  • Ability to establish and maintain effective, collaborative work relationships both internally and externally.

Academic Background & Experience:

  • Bachelor’s Degree in Business combined with a minimum five to ten years of experience as a Unit Compliance Manager o equivalent and experience in a multi-state bank of substantial size ($10 + billion). CRCM and CAMS designation or advanced degree a plus.

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

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