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Years of Experience
Date Last Verified
Compliance Manager The candidate provides direct oversight for moderately complex elements of firm compliance program at the business unit level. Responsible for directing the development and administration of OEC (Office of Ethics and Compliance) education and training, and development and implementation of divisional monitoring plan. Identifies compliance risk areas and recommends action plans to OEC Director. Partners with all levels of key divisional business functions to provide moderately complex OEC and divisional policy interpretation and requirements, compliance risk assessment, trend analysis and best practice recommendations. Conducts moderately complex policy and procedure reviews and updates related to OEC policy and procedures ensuring clarity, applicability and compliance. Develops, delivers and updates OECâ€™s comprehensive training program on moderately complex OEC policies and procedures. Assists with development and delivery of training on complex OEC and divisional policies and procedures. Develops implements, modifies and oversees divisional monitoring plan to ensure compliance with policies and procedures. Assists OEC Director on compliance audits, oversees the fulfillment of auditors requests, acts as liaison between business and auditors during on site activities, evaluates and responds to all moderately complex preliminary findings and recommendations, guides the business in preparing corrective action to address moderately complex findings and recommendations, and ensures timely completion. Directs and participates in compliance leadership meetings and provides input on violation process. Oversees the tracking and trending and proposes recommendations for corrective actions. Provides guidance on proposed commercial programs, identifies moderately complex legal and regulatory issues, analyzes alternatives and works with legal, as appropriate, to propose solutions to the business. Participates and may lead moderately complex OEC programs cross-divisionally.
Qualification and Experience
The candidate must have BA/BS. CPA, Masters, JD, or equivalent work experience is preferred. Should have 6+ years of experience with, or exposure to, business functions such as compliance, legal, regulatory affairs, government affairs, and finance.
JOB ID: 30884084
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