The Compliance Manager, Policy & Training is responsible for managing and optimizing the policy and training programs. This individual will be a seasoned compliance professional who has experience in (1) leading or supporting an enterprise-wide policy program, (2) developing and updating compliance training to ensure it meets current regulatory and program requirements, and (3) identifying and assessing risk to ensure the compliance program is meeting the obligations set forth in the company’s standards of conduct and in compliance with applicable laws & regulations.
Full-time onsite in Vista, CA or remote.
Responsibilities:
- Policy Program Responsibilities:
- Manage and oversee the company’s policy program
- Monitor and maintain a comprehensive inventory of all policies & procedures and track the timely updating of these documents
- Support the implementation and operation of Governance Risk and Compliance (GRC) tooling to further improve and automate the policy program
- Design and establish standard templates for policies & procedures and educate employees on the proper use and the documentation of objectives, risk, and internal controls
- Facilitate reviews with key stakeholders to ensure comprehensive review of organization policies
- Work cross functionally with departments to create and update organization policies to ensure alignment with regulatory obligations
- Prepare governance presentations and monthly reports, as needed
- Assist with research and retrieval of archived policy in response to discovery requests or internal/external audit inquiries
- Training Program Responsibilities:
- Manage and oversee the Compliance department’s training program which includes defining the programmatic vision for the department’s training strategy
- Develop, revise, and deploy annual compliance training plan
- Optimize training platform and enhance tracking methodology to enhance reporting capabilities
- Collaborate with HR and Operations to ensure alignment of company training strategies
- Interface with internal and external customers to understand compliance needs and/or requirements
- Analyze identified compliance issues to determine ongoing training needs to in an effort to mitigate risk
- Additional Responsibilities
- Participate in special projects as identified and assigned by the Director of Compliance
- Maintain a strong working knowledge of federal and state laws and regulations applicable to our industry
What you’ll bring:
• At least 3-5 years of relevant experience in compliance, policy, training or related discipline
• Detailed knowledge and experience related to policy writing and training content development
• Compliance experience in either banking or finance preferred.
• Excellent written and oral communication skills,
• Excellent decision making, problem-solving and judgment skills
• Establishes trust and collaboration with cross-functional stakeholders and team members.
• Strong attention to detail and project management skills
• Excellent ability to investigate, analyze, and interpret data
• Experience and comfort working in an ever-changing industry and the flexibility to quickly react to changing demands.
Essential Functions:
The incumbent must meet work deadlines, have regular attendance, excellent oral and written communication skills, strong interpersonal skills, ability to work with a team, ability to multi-task, use a PC and a computer terminal. If remote, the incumbent’s workspace must meet the company’s minimum requirements for remote work. If local, it requires access to all areas of the office, and the ability to sit for extended periods of time, periodically bending and twisting, and frequent application of a negligible amount of force to lift, carry, push, pull, or otherwise move objects. The incumbent must be able to perform the essential functions of this position with or without reasonable accommodation. The Company will provide reasonable accommodation where necessary.
Requirements:
• Bachelor’s degree or equivalent experience
• At least 5 years professional work in the financial services industry in compliance, audit, or legal strongly preferred
• Paralegal or CRCM certification, nice to have
• Significant licensing experience is a must
• Strong knowledge of consumer compliance laws and regulations
• Demonstrated track record of execution and results
• Ability to problem solve based on strong analytical and technical skills
• Excellent written and oral communication skills
• Excellent decision making, time management, and problem-solving skills
• Ability to effectively interact with all levels of an organization
• Excellent organizational and prioritization skills.
• Detail oriented.
• Proficiency with computers and strong typing skills.
• Ability to multi-task in a fast-paced environment and maintain a high degree of accountability.
• Goal oriented with proven success in a performance-based culture.
What We Offer:
• Robust health insurance including individual and family Medical, Dental and Vision.
• Relax and recharge with Paid Time Off (PTO) Program; plus 10 paid holidays.
• Financial health with 401(k) programs and employer match up to 3% for the first 6% contributed.
• Take care of your emotional, physical, and financial wellbeing with access to EAP.
• We invest in your future through ongoing learning and development resources.
• Save on taxes with Flexible Spending or Health Savings Accounts.
• Peace of mind with Life and AD&D Insurance.
• Discounts for shopping at various retailers.
Application Process:
• Please send your CV along with compensation expectations to: heather@conselium.com
Published by Conselium Executive Search, the global leader in compliance search.
