Sr Trust Compliance Manager
Sr.
Manager ComplianceThe Manager, Senior Compliance is responsible for the CMS-Program within their Division.
They are considered the Compliance expert within their area of responsibility.
It has direct accountability for ensuring compliance within their purview.
This includes responsibility for Third Party Compliance, including Control Testing strategy and implementation, day-to-day oversight, and remediation of third-party Compliance-related issues.
Position
Responsibilities:
Manage Regulatory ComplianceDevelop and maintain Compliance Framework.
Ensure compliance with regulations.
Ensure third-party partners meet Regulatory requirements.
Control Testing strategy and implementation, day-to-day compliance oversight and remediation of third-party Compliance-related issues.
Partner with Line of Business, Compliance and third parties to ensure all processes and procedures are in compliance with policies and federal regulations.
Regulatory Change ManagementAnalyze and make recommendations on department and third-party policies, processes, and procedures based on regulatory requirements or changes.
Consult with vendors and second line of defense as needed.
Ensure resulting policies, processes and procedures meet requirements.
Control Testing Oversight/ReportingDesign, develop, implement, and manage Control Testing program for area of responsibility.
Ensure key regulatory and control timelines and required processes and evidence (documents) are tested.
Ensure control findings are reported to management of affected areas and that remediation plans are established and implemented and tracked in the Archer Issues Management system.
Audit and ExamsServe as the key contact for internal and external Exams.
Prepare/coordinate preparation of audit and exam deliverables.
Develop remediation plans for issues and observations.
Report issues and manage remediation in the Archer Issues Management system.
Executes periodic self-monitoring or testing to determine whether policies and procedures are being followed.
Training and ReportingManage/collaborate on and update monthly Compliance Dashboards.
Provide input into other Dashboards as needed.
Educate and train area of responsibility on regulations that affect them.
Management ResponsibilitiesManage Compliance Managers and or other Compliance employees who are assigned to their area of responsibility.
Follow all HR Management protocol.
Position
Qualifications:
A bachelor's degree from an accredited university10 years of related industry experience7 years' experience in managing financial, regulatory or audit issuesCharlotte8:
00am - 5:
00pm Monday - Friday%387008% %%finance%% Recommended Skills Auditing Change Management Content Management Dashboard Finance Leadership Estimated Salary: $20 to $28 per hour based on qualifications.
Manager ComplianceThe Manager, Senior Compliance is responsible for the CMS-Program within their Division.
They are considered the Compliance expert within their area of responsibility.
It has direct accountability for ensuring compliance within their purview.
This includes responsibility for Third Party Compliance, including Control Testing strategy and implementation, day-to-day oversight, and remediation of third-party Compliance-related issues.
Position
Responsibilities:
Manage Regulatory ComplianceDevelop and maintain Compliance Framework.
Ensure compliance with regulations.
Ensure third-party partners meet Regulatory requirements.
Control Testing strategy and implementation, day-to-day compliance oversight and remediation of third-party Compliance-related issues.
Partner with Line of Business, Compliance and third parties to ensure all processes and procedures are in compliance with policies and federal regulations.
Regulatory Change ManagementAnalyze and make recommendations on department and third-party policies, processes, and procedures based on regulatory requirements or changes.
Consult with vendors and second line of defense as needed.
Ensure resulting policies, processes and procedures meet requirements.
Control Testing Oversight/ReportingDesign, develop, implement, and manage Control Testing program for area of responsibility.
Ensure key regulatory and control timelines and required processes and evidence (documents) are tested.
Ensure control findings are reported to management of affected areas and that remediation plans are established and implemented and tracked in the Archer Issues Management system.
Audit and ExamsServe as the key contact for internal and external Exams.
Prepare/coordinate preparation of audit and exam deliverables.
Develop remediation plans for issues and observations.
Report issues and manage remediation in the Archer Issues Management system.
Executes periodic self-monitoring or testing to determine whether policies and procedures are being followed.
Training and ReportingManage/collaborate on and update monthly Compliance Dashboards.
Provide input into other Dashboards as needed.
Educate and train area of responsibility on regulations that affect them.
Management ResponsibilitiesManage Compliance Managers and or other Compliance employees who are assigned to their area of responsibility.
Follow all HR Management protocol.
Position
Qualifications:
A bachelor's degree from an accredited university10 years of related industry experience7 years' experience in managing financial, regulatory or audit issuesCharlotte8:
00am - 5:
00pm Monday - Friday%387008% %%finance%% Recommended Skills Auditing Change Management Content Management Dashboard Finance Leadership Estimated Salary: $20 to $28 per hour based on qualifications.
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