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Job

Senior Compliance Manager

I am working with a rapidly growing financial services firm in San Diego who is looking for a Senior Compliance Manager. The Senior Compliance Manager will assist executive management, the General Counsel, the Chief Compliance Officer and other business units in overseeing the Company’s compliance program.

 

Roles and Responsibilities:

  • Provide direction and assist in the design of the Program to help prevent and/or detect violations of the Company’s  policies and procedures, including  federal and state consumer protection laws
  • Provide guidance on implementing risk mitigation strategies across multiple disciplines
  • Oversee and assist monitoring adherence to the Program by conducting periodic risk assessments and compliance testing;
  • Manage compliance communications, training strategies, and initiatives to ensure that the Program is adequately communicated to all staff
  • Draft, review, control and manage the development of compliance policies
  • Oversee and support the Company’s daily operations that are impacted or driven by federal and state laws and regulations, including those applicable to any licensing requirements
  • Review reports and actions taken by Company staff resulting from compliance investigations and/or audits
  • Oversee and monitor the resources assigned to the Program to assess their adequacy
  • Review consumer complaints, conduct root cause analysis of valid complaints, and bring to the attention of the Chief Compliance Officer, the General Counsel, and executive management, as appropriate, issues identified by root cause analysis that may warrant further remediation and correction
  • Review the compliance education and training program
  • Assist the legal team in responding to state and federal agency inquiries
  • Prepare quarterly compliance reports that are presented to the Chief Compliance Officer, the General Counsel, and executive management
  • Ensure accurate and timely reporting on compliance issues to the Chief Compliance Officer, General Counsel, and executive management
  • Perform such other duties and responsibilities as may be requested by the Chief Compliance Officer, the General Counsel, and executive management

Education and Experience:

  • Bachelor’s degree required
  • 5+ years of experience in Regulatory Compliance and/or in CA Employment & Labor Law
  • JD and CRCM preferred

 

If this opportunity is of interest to you and you meet the desired skill set, please apply directly with an updated resume.