Compliance Manager, Management
Listed on 2026-07-01
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Management
Regulatory Compliance Specialist -
Finance & Banking
Regulatory Compliance Specialist
Compliance Manager
A Compliance Manager is responsible for ensuring that a company follows all relevant laws, regulations, and internal policies. Their main role includes understanding the rules that apply to the business and developing company policies to meet those standards. They train employees on proper procedures, monitor activities to identify potential risks or violations, and take corrective actions when necessary. Compliance Managers also maintain records of compliance efforts and report findings to company leadership.
In some cases, they may also communicate with regulatory bodies to ensure transparency and address any concerns. Overall, they help protect the company from legal trouble and promote ethical business practices. Reports to Treasurer's Financial Advisor and Executive Assistant. Full-time position with benefits. Salary; DOQ.
Essential Responsibilities & Duties:
- Regulatory Compliance
- Policy Development
- Training and Education
- Monitoring and Auditing
- Investigation and Reporting
- Risk Management
- Documentation and Record-Keeping
- Liaison with Regulators
- Ethical Leadership
Education/Work Experience/
Qualifications:
- Bachelor's degree in Accounting, Finance, Business Administration, or a related field.
- Minimum 3-5 years of experience in internal control, auditing, risk management, or related roles.
- Strong knowledge of fund accounting, financial services industry and compliance functions.
- Ability to build and develop working knowledge of applicable Tribal compliance industry regulations.
- Exceptional verbal and written communication skills.
- Ability to independently and effectively manage time and prioritize work to meet multiple tight deadlines while paying strong attention to detail.
- Ability to collaborate, communicate, and guide across different levels of various organizations.
- Ability to maintain productive working relationships with all tribal businesses and programs.
- Proficiency in Microsoft Office, Microsoft Excel and SAGE audit software.
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