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Compliance Manager Jobs

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Investment Banking Associate - Tech/TMT
  • Job type: Permanent
  • Location: New York
  • Salary: US$150000 - US$200000 per year
  • Description Investment Banking Associate - Tech/TMT A strong Technology focused boutique investment bank is actively seeking an Associate level investment banking professional with Tech/TMT experience to join
Investment Banking Associate
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  • Location: New York
  • Salary: US$150000 - US$200000 per year
  • Description Our client is a leading global Investment Bank Headquartered here in NY and considered to be one of the Elite Boutique investment bank on the street. They are currently looking to add Investment
Investment Banking Associate/VP - M&A Generalist
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Investment Banking MD
  • Job type: Permanent
  • Location: New York
  • Salary: US$150000 - US$250000 per year
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Machine Learning Quant Researcher
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Director of Acquisitions Analytics & Risk
  • Job type: Permanent
  • Location: Wilmington, Delaware
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  • Description A Global Banking Institution is seeking to add a Director of Acquisitions and Product to their growing Credit Card function in Wilmington, DE! This individual will ideally have strong experience in
IT Controls Manager
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  • Location: Boston, Massachusetts
  • Salary: Competitive
  • Description IT Controls Manager Will be apart of the Financial Controls Program team assessing financial systems such as key IT controls and risk systems. Qualifications: 5-8 years experience
Quantitative Researcher
  • Job type: Permanent
  • Location: Boston, Massachusetts
  • Salary: Negotiable
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Senior IT Audit Manager
  • Job type: Permanent
  • Location: New York
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The primary responsibility of a Compliance Manager is to ensure that all strategies and guidelines of an organization comply with standard principles, legislation and regulations, whether these are from external sources such as government or from the corporate management of the company itself. A compliance manager performs audits to help protect the organization from potential penalties, as well as from other problems arising from a lack of adherence to regulations. 

It is the duty of a Compliance Manager to ensure that an organization is meeting all rules and regulations including employment legislation, health and safety, diversity, intellectual property rights and consumer and data protection.
Any non-compliance issue could potentially result in severe financial penalties if not addressed and will almost certainly lead to a negative impact on clients or investors through a loss in confidence in the organization and its management.

Employment Outlook and Salary 
Compliance specialists play a fundamental role in an increasingly wide variety of organizations, particularly in sectors such as Pharmaceutical, Healthcare and the Chemical industry. The compliance industry as a whole is experiencing a boom with estimates of 31% growth in the period between 2008 and 2018.
In the United States, the average salary of a compliance manager is $74,458 per year with a range between $44,847 - $120,984, depending on education and relevant working experience. UK salaries range from £25,923 - £64,849 with average salaries coming in at around £35,959 per annum.

Job Description
The main functions of a compliance manager include ensuring that all rules and legislation are adhered to in line with regulatory and ethical standards. Compliance managers typically act as a central point of contact, communicating with management and employees regarding various compliance issues, as well as reporting to different government authorities. 
It is the responsibility of compliance managers to identify compliance problems through conducting internal investigations within the organization itself as well as facilitating frequent training on compliance rules and updates to legislation. 

While the specific job role varies from company to company, typical tasks may include facilitating audits, identifying problems, making reports, communicating with legal teams, and administering compliance systems and strategies. 

Key job activities include:

  • Facilitate regular internal reviews or audits to confirm that all compliance processes are adhered to
  • Conduct internal investigations of ongoing compliance issues
  • Evaluate product, compliance or operative risks and prepare strategies for risk mitigation
  • Identify any compliance problems which require regular follow up
  • Act as liaison between employees and senior management
  • Maintain documentation of all compliance activities
  • Notify legal compliance issues to legal teams
  • Raise awareness among employees on topics related to compliance
  • Provide assistance to internal or external auditors conducting compliance reviews
  • Prepare reports regarding compliance operations and progress

Key Skills & Qualifications 
Compliance managers must possess strong analytical skills allowing them to understand complex problems. Likewise, they must have excellent written and verbal communication skills as accurate reporting is a key component of the job role.

A bachelor’s degree is a must, preferably in subjects such as finance, accounting, business, and law. Candidates are also required to have at least 5 to 7 years of work related experience and relevant certificates of training.