Compliance Manager (225-1009)

A Compliance Manager plays a crucial role in ensuring that an organization adheres to external regulations and legal requirements as well as internal policies and bylaws. They are responsible for designing and implementing control systems to prevent or deal with violations of legal guidelines and internal policies. In addition, they evaluate the efficiency of controls and improve them continuously. The Compliance Manager provides guidance and support to management and staff, fostering a culture of integrity and ethical behavior across the organization. Effective Compliance Managers possess excellent analytical and problem-solving skills with a strong ability to interpret complex regulatory information, making sure that the organization’s activities are in full compliance with applicable laws and standards.

Responsibilities

• Develop, implement, and manage an effective legal compliance program across the organization.
• Coordinate with department managers to review all compliance policies consistently.
• Educate and train employees on regulations and industry practices to ensure policy adherence.
• Monitor regulatory developments within and outside of the organization to remain proactive.
• Conduct regular audits and inspections to identify and address any compliance issues.
• Prepare detailed reports as required by the organization or regulatory authorities.
• Advise and support other departments on matters related to compliance requirements.
• Oversee risk management processes to identify and mitigate compliance risks efficiently.
• Collaborate with external auditors and regulators when necessary to ensure compliance.
• Implement corrective action plans for resolution of problematic issues and compliance deficiencies.
• Review and update compliance manuals and employee handbooks as new legislation arises.
• Cultivate a culture of integrity and compliance within the organization at all levels.

Requirements

• Bachelor’s degree in Law, Finance, Business Administration, or related field required.
• Proven experience as a Compliance Manager or similar regulatory role in the industry.
• Strong understanding of regulatory requirements and industry best practices is essential.
• Excellent analytical skills and the ability to interpret complex legal documents.
• Exceptional leadership and organizational skills required for managing compliance programs.
• High attention to detail with aptitude for problem-solving and decision-making.
• Strong communication skills to effectively train and advise staff on compliance matters.
• Professional certification such as Certified Compliance & Ethics Professional (CCEP) preferred.