12 дней назад
Strategy Governance and Reporting Compliance Manager
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Strategy Governance and Reporting Compliance Manager (Financial Services Compliance): Managing issues, regulatory changes, books and records, exam coordination, and emerging risks across PCG & Asset Management Compliance with an accent on governance, regulatory interpretation, and scalable compliance processes. Focus on coordinating complex compliance initiatives, developing standardized workflows and controls, and preparing strategic reporting for senior leadership.
Location: Saint Petersburg, Florida, United States; hybrid workstyle
Company
is a financial services firm focused on securities, banking, investment products, and client-first long-term service.
What you will do
- Manage issues and action plans from identification through completion across PCG & Asset Management Compliance.
- Coordinate compliance initiatives involving regulatory changes, books and records, regulatory exams, inquiries, and emerging risks.
- Partner with Internal Audit, Compliance Testing, Risk Management, and business stakeholders to resolve issues and maintain accurate status updates.
- Standardize compliance processes, procedures, controls, and desk procedures to improve transparency and execution.
- Prepare and deliver written and oral reports and presentations to management.
- Lead defined projects and workstreams of moderate scope while escalating complex or sensitive matters appropriately.
Requirements
- Bachelor’s degree and at least six years of experience in compliance or the financial services industry preferred.
- Knowledge of securities and/or banking compliance reviews, financial markets, investment products, and industry operations.
- Knowledge of applicable SEC, FINRA, FDIC, OCC, FFIEC, Federal Reserve, and state regulatory requirements.
- Ability to interpret regulations, research compliance issues, identify risks, and recommend appropriate changes.
- Strong analytical, organizational, communication, presentation, and stakeholder-management skills.
- Ability to work independently and collaboratively on multiple priorities in a fast-paced environment.
Nice to have
- Working knowledge of Smartsheet.
- Additional licenses or certifications demonstrating expertise in industry regulation and concepts.
Culture & Benefits
- Hybrid work environment with less than 25% travel.
- Medical, dental, vision, life, critical illness, accident, and disability insurance may be available.
- Retirement savings, paid vacation, holidays, sick leave, and parental leave may be available.
- People-first culture centered on integrity, collaboration, accountability, continuous improvement, and professional growth.
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