Internal Control, Compliance Manager

Brief Description ABOUT THE ROLE As part of the SANY Americas team, SANY Capital USA is seeking an experienced Internal Control / Compliance Manager to lead and strengthen the organization's compliance, enterprise risk management, internal control, and third-party risk management frameworks. This role translates regulatory and business requirements into practical policies, controls, monitoring, testing, reporting, and remediation activities that support responsible growth.

The position works cross-functionally with business leaders, technology and cyber teams, auditors, service providers, and executive leadership to identify material risks, maintain effective controls, respond to regulatory change, and foster a culture of accountability, compliance, and risk mitigation. With current revenues over $500 million, SANY America continues to make strong progress and significant investments in the Americas market; the organization is now pursuing an aggressive growth strategy and is looking to move quickly beyond this initial platform and increase market share.

• Regulatory Compliance:
  Ensure compliance with applicable federal and state laws, regulations, regulatory guidance, and industry standards relevant to SANY Capital USA's financial services activities.
• Internal Control Framework:
  Implement and maintain an internal control structure that formalizes processes and controls, clearly identifies activity flows and responsibilities, and establishes appropriate segregation of duties for conflicting activities.
• Risk & Compliance Governance:
  Establish, review, maintain, and communicate Compliance, Enterprise Risk Management, Internal Control, and Third-Party Risk Management strategies, policies, standards, and procedures.
• Risk and Controls Matrix:
  Formalize identified risks, risk factors, control activities, and risk measurements within the Risk and Controls Matrix.
• Risk Tolerance Monitoring:
  Monitor compliance with established limits, objectives, and risk tolerances to maintain risk exposure within acceptable levels.
• Regulatory Reporting:
  Coordinate the preparation and submission of required periodic and ad hoc reports to applicable regulatory or supervisory bodies in accordance with established requirements and timelines.
• AML, Sanctions & Due Diligence:
  Support and oversee applicable U.S. anti-money laundering, sanctions, customer due diligence, and related compliance requirements, including applicable Bank Secrecy Act/FinCEN and OFAC obligations based on SANY Capital USA's business activities.
• Compliance Monitoring & Testing:
  Develop and execute risk-based compliance monitoring and testing to evaluate the effectiveness of policies, procedures, processes, and controls and identify deficiencies or emerging risks.
• Regulatory Change Management:
  Monitor changes in applicable laws, regulations, and regulatory guidance; assess business impact and coordinate required updates to policies, processes, systems, and controls.
• Audit & Examination Coordination:
  Serve as a key compliance contact for internal audits, external audits, regulatory examinations, and other assurance activities, including coordination of documentation, responses, remediation plans, and closure of findings.
• Issue Escalation & Remediation:
  Ensure identified internal control deficiencies and material risks are promptly communicated to the appropriate management level and corrected in a timely manner; maintain and monitor action plans for reducing vulnerabilities, addressing findings, mitigating losses, and validating completion of corrective actions.
• Risk Reporting:
  Prepare and present reports on the effectiveness of Risk, Compliance, Internal Controls, Third-Party Risk, and remediation activities to senior leadership and applicable governance committees.
• Training & Guidance:
  Develop and/or coordinate compliance and risk training and provide guidance to employees and management regarding regulatory, policy, and internal control requirements.
• Ethics & Culture:
  Promote high ethical and integrity standards and foster a culture that emphasizes the importance of compliance, internal controls, accountability, and risk mitigation.

Minimum of 6 years of progressive experience in financial services compliance, enterprise risk management, internal controls, audit, or third-party risk management, including experience developing, implementing, monitoring, or testing risk and compliance programs.

• Regulatory & Risk Foundation:
  Strong understanding of…