What are the responsibilities and job description for the Risk Compliance Lead- Captive Finance position at SANY America?
About the Company
SANY America is part of a global organization experiencing significant growth and investment across the Americas. As our financial services business continues to evolve, we are seeking an experienced Internal Controls & Compliance Lead to strengthen our risk management framework, formalize internal controls, and support a strong culture of compliance and accountability. This is an opportunity for a hands-on financial services professional to help build, implement, and enhance the policies, processes, and controls that support responsible business growth.
About the Role
The Internal Controls & Compliance Lead will lead key initiatives across internal controls, regulatory compliance, enterprise risk management, and third-party risk. This individual will work closely with business leaders, technology teams, auditors, and executive leadership to identify risks, implement effective controls, monitor compliance, and drive timely resolution of control deficiencies. We are looking for someone who can combine strong technical expertise with sound business judgment, clear communication, and the confidence to influence stakeholders at all levels of the organization.
Responsibilities:
- Strengthen Internal Controls: Develop and maintain an effective internal control framework, including documented processes, control ownership, segregation of duties, and a comprehensive Risk and Controls Matrix.
- Lead Risk Management Initiatives: Conduct risk assessments, evaluate emerging risks, monitor risk tolerances, and support enterprise risk management activities.
- Manage Compliance Programs: Establish and maintain compliance policies, standards, and procedures aligned with applicable financial services laws, regulations, and industry expectations.
- Support Regulatory Compliance: Oversee applicable BSA/AML, OFAC, sanctions, and customer due diligence requirements based on business activities.
- Monitor and Test Controls: Develop risk-based monitoring and testing programs to evaluate control effectiveness, identify gaps, and recommend improvements.
- Coordinate Audits and Examinations: Serve as a key contact for internal and external audits and applicable regulatory examinations, coordinating documentation, responses, and remediation activities.
- Drive Corrective Action: Track control deficiencies, audit findings, and remediation plans through timely resolution and validation.
- Oversee Third-Party Risk: Strengthen processes for identifying, assessing, and monitoring risks associated with external partners and service providers.
- Advise Leadership: Prepare and present risk and compliance reporting, communicate material issues, and provide practical recommendations to senior leaders.
- Build a Culture of Accountability: Educate employees and leadership on policies, controls, and risk responsibilities while promoting ethical conduct and continuous improvement.
Qualifications
- Bachelor's degree in Finance, Accounting, Business, Risk Management, or a related field.
Required Skills
- At least 6 years of progressive experience in financial services compliance, internal controls, enterprise risk management, internal audit, or a related discipline.
- Experience developing, implementing, monitoring, or testing risk and compliance programs.
- Background in equipment finance, captive finance, commercial lending, banking, leasing, or another financial services environment strongly preferred.
- Working knowledge of financial services regulatory requirements, risk assessment methodologies, internal controls, and compliance monitoring.
- Familiarity with applicable BSA/AML, OFAC, sanctions, and customer due diligence requirements.
- Strong analytical, organizational, and problem-solving skills, with the ability to manage competing priorities.
- Excellent written communication and presentation skills, including the ability to explain complex requirements to business leaders and executives.
- Confidence to establish expectations, influence stakeholders, address resistance, and drive meaningful improvements.
- Professional certifications such as CRCM, CAMS, CCEP, CIA, CRMA, CTPRP, or CERP are a plus.
Preferred Skills
- You are a practical, solutions-oriented professional who can move between detailed control work and strategic conversations with leadership.
- You are comfortable bringing structure to evolving processes, translating regulatory expectations into workable business practices, and holding stakeholders accountable for results.
- You bring integrity, sound judgment, and the confidence to make recommendations, communicate difficult messages, and help the business grow responsibly.