Compliance Manager
Compliance Manager
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
This role will provide and oversight for the programs that oversee compliance with the companys regulatory and internal control environment. This includes but is not limited to facilitating and overseeing the management selftesting program management selftesting quality assurance annual attestations and compliance automated testing program.
Responsibilities:
To perform this job successfully an individual must be able to perform each primary duty satisfactorily.
- Oversee the facilitation of the management selftesting program including drafting of test plans launching campaigns reviewing of results and reporting on program.
- Oversee and advance the management selftesting quality assurance program.
- Facilitate review and report on the companys attestation program.
- Oversee the Compliance automated testing activities and enhance the testing program in order to provide assurance and insight into the compliancerelated activities of the organization.
- Design and perform tests of controls for design and operational effectiveness as needed.
- Perform secondary review of compliance review checklist related to findings remediation efforts.
- Report on output of programs to stakeholders senior management and the board.
- In coordination with other members of the department develop tools and reports for Assurance and Monitoring.
- Work with internal stakeholders (ORMC Internal Audit others) to determine ways to leverage work and maximize efficiency across the organization.
- Escalate issues to the Executive Director Assurance and Monitoring and the Chief Compliance Officer as needed.
- Perform other duties as assigned.
Supervisory Responsibilities:
- Supervise a team of Associate Principals and Senior Associates.
- Prioritize and distribute assignments projects and initiatives to ensure delivery of work product to accomplish objectives and goals.
- Promote staffs personal and professional development.
- Perform administrative supervisory activities including performance reviews corrective action documentation and other tasks as needed.
Qualifications:
The requirements listed are representative of the knowledge skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the primary functions.
- Strong background and knowledge in process management including familiarity with issue management or audit best practices.
- Understanding of the role and importance of internal controls within the organization.
- Strong analytical skills with the ability to apply judgment to provide efficient and effective solutions and to analyze all collected data to garner useful results.
- Ability to prepare informative and concise reports depicting the current situation and historical trends.
- Excellent written and oral communication skills and the ability to interact with various departments to successfully collect needed information.
- Ability to adapt quickly to changing priorities environment constraints and project deadlines.
- Ability to manage multiple efforts concurrently.
Technical Skills:
- Spreadsheet expertise (i.e. Excel).
- Documentation expertise (i.e. Word)
- Presentation experience (i.e. PowerPoint Word and Publisher)
- eGRC experience (specifically RSA Archer) preferred
- SOC experience and/or knowledge of COSO preferred.
Education and/or Experience:
- Bachelors Degree in Business Finance Accounting or a related discipline.
- 710 years related experience preferably 3 years within financial services.
- Familiarity with internal controls role within an organization.
- Experience in identifying process improvements.
- Experience in project planning and reporting results.
- Experience with managing multiple projects simultaneously.
Certificates or Licenses:
- CPA CIA CISA or other related certification preferred.
Required Experience:
Manager
Employment Type
Full Time
