Senior Compliance & Risk Program Manager

Jobtailor; North Carolina; On-site; USD 110,000 - 150,000; Full time

Job summary

Jobtailor seeks an experienced Compliance Program Manager in the United States to lead and evolve our compliance framework. You will establish policies, guide junior staff, and partner with cross-functional teams to uphold regulatory standards.

Responsibilities include risk analysis, presenting mitigation strategies to senior leadership, overseeing examinations, and ensuring regulatory alignment across marketing, sales, product development, and documentation.

Qualifications

• Bachelor's degree or equivalent; regulatory compliance knowledge preferred.
• 8+ years of industry experience.
• 5+ years of prior management experience.
• Knowledge of broker-dealer administration and regulatory compliance.
• Experience with compliance testing and monitoring programs.
• Knowledge of anti-money laundering, sanctions policies and procedures.

Responsibilities

• Establish and enhance effective compliance programs and design policies to identify and prevent illegal, unethical, or improper business practices
• Train, monitor, and manage junior staff and remediate issues
• Support business initiatives by analyzing data to identify compliance risks
• Present resolutions to manage and mitigate identified risks, escalating risks when necessary
• Assess compliance impacts on marketing materials, sales programs, product development, documentation review, and other business initiatives
• Work cooperatively with business, legal, audit, and other risk disciplines
• Develop, facilitate, and conduct compliance training programs for junior staff
• Assess existing and emerging risks, evaluate materiality, and present mitigation recommendations to senior leadership
• Draft or assess Compliance Manuals, Front Office materials, policies, and procedures for regulatory alignment
• Manage regulatory examinations and inquiries, including interviews and information requests
• Direct the compliance monitoring program and review activity against established risk control limits
• Define and communicate Compliance program objectives to executive-level business partners and junior staff
• Independently challenge analyses and formulate value-added recommendations
• Advise junior staff on analysis and recommendation techniques
• Complete final reviews of compliance reports to identify themes and trends
• Escalate issues through governance channels and recommend corrective action plans
• Propose revisions and implementation strategies for new or enhanced reports

Skills

Compliance program management

Regulatory compliance

Risk assessment

Compliance training

Management experience

Education

Bachelor's degree or equivalent

Job description

Jobtailor seeks an experienced Compliance Program Manager in the United States to lead and evolve our compliance framework. You will establish policies, guide junior staff, and partner with cross-functional teams to uphold regulatory standards.

Responsibilities include risk analysis, presenting mitigation strategies to senior leadership, overseeing examinations, and ensuring regulatory alignment across marketing, sales, product development, and documentation.