We are seeking a highly skilled and experienced Compliance Manager to oversee our compliance program and ensure adherence to all relevant laws, regulations, and internal policies. The Compliance Manager will be responsible for developing and implementing compliance policies and procedures, conducting risk assessments, and providing guidance to employees on compliance-related matters. The successful candidate will play a key role in promoting a culture of compliance and mitigating regulatory risk.
Key Responsibilities:
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Develop, implement, and maintain an effective compliance program to ensure compliance with all applicable laws, regulations, and industry standards.
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Monitor changes in regulatory requirements and industry best practices, assessing their impact on the company's operations and compliance obligations.
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Conduct regular compliance risk assessments and audits to identify potential areas of non-compliance or regulatory risk.
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Develop and implement policies, procedures, and controls to mitigate compliance risks and ensure adherence to regulatory requirements.
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Provide training and guidance to employees on compliance-related topics, including anti-money laundering (AML), know-your-customer (KYC), and consumer protection regulations.
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Collaborate with cross-functional teams to integrate compliance requirements into business processes and systems.
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Serve as the primary point of contact for regulatory agencies and external auditors, coordinating responses to inquiries and examinations.
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Investigate compliance incidents and complaints, documenting findings and recommending corrective actions as needed.
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Monitor and report on compliance metrics and key performance indicators (KPIs) to senior management and the board of directors.
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Stay informed about emerging compliance issues, industry trends, and regulatory developments affecting commercial lending operations.
Qualifications:
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Bachelor's degree in business administration, finance, or a related field; advanced degree or professional certification in compliance or a related field preferred.
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5+ years of experience in compliance roles within the financial services industry, with specific experience in commercial lending compliance preferred.
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Strong knowledge of relevant laws and regulations, including but not limited to lending regulations, AML/KYC requirements, and consumer protection laws.
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Demonstrated experience developing and implementing compliance programs, policies, and procedures.
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Excellent analytical, problem-solving, and decision-making skills, with the ability to identify and mitigate compliance risks.
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Strong communication and interpersonal skills, with the ability to effectively communicate complex compliance concepts to diverse audiences.
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Ability to work independently and collaboratively in a fast-paced environment, managing multiple priorities and deadlines effectively.
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Proficiency in Microsoft Office Suite and other relevant software applications.