Specific Deliverables
•Responsible for identifying and analyzing legal and regulatory issues requiring policy guidance
and presenting clear recommendations to ensure the company and its clients effectively meet all
applicable compliance standards.
•Keep abreast of relevant laws, regulations, industry guidelines, and supervisory
guidance/enforcement that might affect the business of any affiliated companies or the clients of
those companies and ensure that business policies and procedures are in line with these
standards.
•Educate management, clients, and related parties on best practices in compliance, industry
trends, and new or modified compliance requirements.
•Manage, develop, and maintain compliance policies, procedures, and training for the company
and its clients as needed for adherence with applicable laws, regulations, and industry
guidelines. These policies, procedures, and training cover all aspects of the business including
but not limited to marketing, underwriting, consumer communications, payment processing, and
data security.
•Ensure training materials are current and effectively instruct employees how to operate in
compliance with the applicable standards.
•Train internal and external clients on compliance policy requirements through a variety of
methods including one-on-one or staff meetings, webinars, memos, and educational
presentations.
•Work with the Compliance Audit team to understand the effectiveness of the compliance policies
and procedures and update those policies and procedures as necessary.
•Assist the VP of Compliance and the compliance team with the execution of their respective
responsibilities.
•Participate in offsite and onsite due diligence reviews of key third-party service providers. Build
and maintain close working partnerships with internal and external clients to ensure they seek
advice when needed on compliance policy matters.
•Partner with clients to develop solutions to meet compliance needs.
•Perform other related duties as assigned.
Required Skills and Attributes
•Active listening: giving full attention to what other people are saying, taking time to
understand the points being made, asking questions as appropriate, and engaging in productive,
respectful dialogue.
•Analytical thinking: synthesizes complex or diverse information; collects and researches data.
•Written communication: effective in writing as appropriate for the needs of the audience.
•Verbal communication: talking to others to convey information effectively.
•Critical thinking: using logic and reasoning to identify the strengths and weaknesses of
alternative solutions, conclusions, or approaches to problems.
•Leadership: motivates others to perform well; effectively influences actions of others; accepts
feedback from others, compliance team leadership experience
•Project management: coordinates projects; communicates changes in progress; completes
projects on time. Track record of advancing strategies to completion.
•Problem solving: identifies and resolves problems in a timely manner; gather and analyzes
information skillfully; develops alternative solutions.
•Reading comprehension: understanding written sentences and paragraphs in work related
documents.
•Social perceptiveness: being aware of and understanding others' reactions
•Judgment: Displays willingness to make decisions; Exhibits sound and accurate judgment;
Supports and explains reasoning for decisions; Includes appropriate people in decision-making
process; Makes timely decisions.
•Ability to rapidly assimilate information.
•Demonstrated record of developing innovative and workable solutions to complex legal problems
which enable commercial objectives.
•A personal orientation to personal and professional growth.
•Comfortable with driving and managing change.
•An orientation to teamwork and success.
Required Qualifications:
•At least 5 years of experience in a business environment in counsel capacity or comparable law
firm or compliance program experience working in the compliance area.
•Ability to identify risks and propose alternative structures to mitigate risks.
•Excellent analytical research and documentation writing skills as demonstrated by past draft
examples.
•Ability to handle multiple complex projects.
•Solid understanding of the various business processes.
•Working knowledge of business software such as Microsoft Word, Excel, PowerPoint, Outlook.
Physical Requirements/Work Environment:
•Frequently sit/stand in front of computer monitor daily for long periods of time
•Frequent use of hands to type
•Occasionally lift up to 5 pounds
•Must be able to talk and hearing constantly
•Noise Level: moderate noise level daily in an office atmosphere
•Occasionally travel, including internationally
I have reviewed, accept and understand the duties and responsibilities of the Manager of Compliance Operations
#LI-Hybrid.