Compliance Operations Manager
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Job Summary
Supporting the effective execution and continuous improvement of the firm's Compliance program, the full-time remote Compliance Operations Manager will manage compliance projects, enhance governance and risk processes, and supervise personnel while ensuring adherence to regulatory requirements.
Key responsibilities
- Lead and coordinate Compliance Operations programs, projects, and recurring obligations, establishing clear ownership and deliverables
- Develop and maintain project plans for complex compliance initiatives, driving assigned initiatives through implementation and completion
- Support the firm's compliance policy and procedure governance process, including ownership, review schedules, and updates based on regulatory developments
Required qualifications
- Bachelor's degree
- Series 7, 24, and 65, or ability to obtain within 12 months of hire
- Seven or more years of relevant experience in compliance, regulatory operations, or risk management in financial services
- Demonstrated experience managing complex projects involving multiple stakeholders and competing deadlines
- Experience implementing or improving a GRC or compliance workflow platform
Complete Job Description
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