Compliance Manager, Finance & Banking

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Executive Management Brea, CA, US

Salary Range: $ To $ Annually

About the feature:

The Compliance Manager plays a key role in ensuring that the organization complies with all applicable laws, regulations, and internal policies in the banking and non-banking credit intermediation sectors. This position is responsible for developing, implementing, and maintaining comprehensive compliance programs that mitigate risks and promote ethical business practices. The Compliance Manager leads efforts to monitor compliance activities, conduct risk assessments, and oversee internal audits and investigations to identify potential areas of non-compliance.

By collaborating with various departments, this role ensures that corrective action plans are effectively executed to address compliance gaps and prevent future violations. Ultimately, the Compliance Manager protects the organization's reputation and operational integrity by fostering a culture of compliance and accountability at all levels of the business.

• Bachelor's degree in Finance, Business Administration, Law, or a related field.
• Minimum of 5 years of experience in compliance management within the banking or financial services industry.
• Solid knowledge of the relevant regulatory requirements for banking and non-banking credit intermediation.
• Proven experience in conducting risk assessments, internal audits, and investigations.
• Excellent written and oral communication skills for effective reporting and stakeholder engagement.

Preferred degrees:

• Professional certifications such as Certified Regulatory Compliance Manager (CRCM), Certified Compliance and Ethics Professional (CCEP), or similar.
• Experience with compliance software and risk management tools.
• Advanced degree such as a Master of Business Administration (MBA) or Juris Doctor (JD).
• Familiarity with federal and state regulatory agencies and examination processes.
• Proven ability to lead cross-functional teams and manage complex compliance projects.

Responsibilities:

• Develop, implement, and maintain compliance monitoring programs to ensure adherence to regulatory requirements and internal policies.
• Conduct comprehensive risk assessments to identify and evaluate compliance risks associated with banking and credit intermediation activities.
• Lead and coordinate internal investigations and audits to detect potential compliance violations and operational weaknesses.
• Collaborate with cross-functional teams to design and implement corrective action plans that address identified compliance issues.
• Prepare detailed reports and communicate findings to senior management and regulatory bodies as necessary.
• Stay up to date with changes in laws, regulations, and industry standards to proactively update compliance strategies.
• Provide training and guidance to employees on compliance policies, procedures, and best practices.
• Support the development of risk management frameworks that align with organizational objectives and regulatory expectations.

Skills:

The Compliance Manager daily uses compliance monitoring and risk assessment skills to identify and mitigate potential regulatory risks, ensuring the organization operates within legal boundaries. Strong capabilities in compliance management and internal auditing enable the manager to design effective programs and conduct thorough investigations that maintain organizational integrity. Written and oral communication skills are essential for preparing detailed reports, delivering training, and acting as a liaison with regulatory bodies and internal stakeholders.

Experience in risk management supports the development of strategies that balance regulatory requirements with business objectives. Additionally, competence in corrective action planning ensures that identified compliance issues are addressed quickly and effectively, fostering continuous improvement in compliance practices.