Compliance Operations Senior Manager
December 9
🇺🇸 United States – Remote
💵 $142k - $170k / year
⏳ Contract/Temporary
🟠 Senior
🚔 Compliance
🦅 H1B Visa Sponsor
Description
• Analyze, review, and respond to regulatory complaints to ensure accurate, timely, and compliant resolutions. • Collaborate with cross-functional teams to enhance the complaints management process, aligning with regulatory requirements and best practices. • Conduct root cause analysis of complaints to identify trends, gaps, or emerging risks and recommend corrective actions. • Monitor adherence to complaints-related policies and procedures, and test the effectiveness of processes and controls. • Identify and escalate potential weaknesses in the complaints management system, working with stakeholders to strengthen controls and address vulnerabilities. • Assist with marketing reviews to ensure alignment with applicable regulations and consumer protection laws. • Execute assigned projects, ensuring timely and accurate completion while seeking guidance as needed. • Foster collaboration and provide cross-functional support to other compliance areas, including financial crimes, fraud, and regulatory compliance programs. • Monitor the implementation of corrective actions resulting from complaint investigations and escalate issues as necessary. • All other duties as assigned
Requirements
• 10+ years of compliance risk management experience in professional services, Fintech, or Financial services experience and or CRCM designation is a plus. • Demonstrated knowledge and application of financial services related laws and regulations • Demonstrated knowledge of compliance/regulatory risks, processes, and control frameworks, and the ability to design and evaluate the effectiveness of controls embedded within business processes • Clear, concise, and persuasive written and verbal communication • Strong orientation to deadlines and detail • Commercially-oriented creative thinker and problem solver • Strong project management, critical thinking, and analytical skills • Ability to embrace and champion our core values: Customer First, Collaborative, Creating Impact, and Inventive. • Mature, professional and of unquestionable integrity, carrying out excellent judgment when handling sensitive information • Proficiency in Excel/Sheets (VLOOKUP, INDEX MATCH, advanced conditional formatting, pivot tables and reporting, macros and VBA) and PowerPoint/Slides
Benefits
• Competitive salary + benefits
Apply Now