Compliance Manager Jobs

The Compliance Manager will be responsible for the day to day running of the operational compliance function in a timely and efficient manner and in strict accordance with the Group’s risk and compliance policies and risk appetite. This is a senior-level role reporting to Head of Operational Compliance.

Specifically, the role entails the following:

• Reviewing and assisting in drafting of SAR’s for FINCEN
• Reviewing customer applications and undertaking risk assessments on client profiles for high risk applicant.
• Dealing with external requests for information
• Ensuring that SLA’s are adhered to globally
• Monitoring the effectiveness of systems and processes:
• Ensuring that all customer applications and trades across the group are handled in strict accordance with the Group’s risk and compliance framework:
• Delivering compliance in an operationally efficient manner:
• Providing recommendations for improvements or fixes
• To ensure that they continue to meet the needs of the business both from a regulatory and operational perspectives
• Transaction monitoring on payments in and payments out to assess AML and TCF risk
• Delivering compliance in a customer-friendly manner:
• Delivery of compliance training and technical support relating to Anti-money Laundering and Financial Crime obligations.
• Agreeing on operational metrics with the Head of Operational Compliance
• Undertaking testing on UAT and developmental projects impacting Compliance
• Reviewing and recommending policy and process updates relating to MSB’s
• Defining the right levels of communication with clients where necessary/possible
• Liaising with the MLRO on any regulatory changes and the need to reflect those in operational process
• Acting as the point of escalation for all teams
• Training staff in the US, India and other parts of the world
• Escalating decisions to the Head of Operational Compliance where necessary
• Monitoring the activities of staff on a daily basis and identifying gaps in adherence, competence or training

Qualifications/Experience

• Previous experience in transactional monitoring compliance with a financial services provider
• Ideally from a compliance background with a minimum of 2 years’ experience
• Pro-active approach, capable of working on own initiative.
• Able to work AML and financial crime alerts in a timely manner
• Attention to detail when completing all work
• Ability to work under pressure and meet deadlines
• Working understanding of AML regulations and risk management