Compliance Manager - Buckingham Search

This role will provide execution and oversight for the programs that oversee compliance with the company’s regulatory and internal control environment. This includes, but is not limited to, facilitating and overseeing the management self-testing program, management self-testing quality assurance, annual attestations, and compliance automated testing program.

Responsibilities:

To perform this job successfully, an individual must be able to perform each primary duty satisfactorily.

• Oversee the facilitation of the management self-testing program, including drafting of test plans, launching campaigns, reviewing of results, and reporting on program.
• Oversee and advance the management self-testing quality assurance program.
• Facilitate, review and report on the company’s attestation program.
• Oversee the Compliance automated testing activities and enhance the testing program in order to provide assurance and insight into the compliance-related activities of the organization.
• Design and perform tests of controls for design and operational effectiveness, as needed.
• Perform secondary review of compliance review checklist related to findings remediation efforts.
• Report on output of programs to stakeholders, senior management, and the board.
• In coordination with other members of the department, develop tools and reports for Assurance and Monitoring.
• Work with internal stakeholders (ORMC, Internal Audit, others) to determine ways to leverage work and maximize efficiency across the organization.
• Escalate issues to the Executive Director, Assurance and Monitoring, and the Chief Compliance Officer, as needed.
• Perform other duties as assigned.

Supervisory Responsibilities:

• Supervise a team of Associate Principals and Senior Associates.
• Prioritize and distribute assignments, projects, and initiatives to ensure delivery of work product to accomplish objectives and goals.
• Promote staff’s personal and professional development.
• Perform administrative supervisory activities including performance reviews, corrective action documentation, and other tasks as needed.

Qualifications:

The requirements listed are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the primary functions.

• Strong background and knowledge in process management, including familiarity with issue management or audit best practices.
• Understanding of the role and importance of internal controls within the organization.
• Strong analytical skills with the ability to apply judgment to provide efficient and effective solutions, and to analyze all collected data to garner useful results.
• Ability to prepare informative and concise reports depicting the current situation and historical trends.
• Excellent written and oral communication skills and the ability to interact with various departments to successfully collect needed information.
• Ability to adapt quickly to changing priorities, environment constraints, and project deadlines.
• Ability to manage multiple efforts concurrently.

Technical Skills:

• Spreadsheet expertise (i.e. Excel).
• Documentation expertise (i.e. Word)
• Presentation experience (i.e. PowerPoint, Word, and Publisher)
• eGRC experience (specifically RSA Archer), preferred
• SOC experience and/or knowledge of COSO preferred.

Education and/or Experience:

• Bachelor’s Degree in Business, Finance, Accounting, or a related discipline.
• 7-10 years related experience, preferably 3 years within financial services.
• Familiarity with internal controls role within an organization.
• Experience in identifying process improvements.
• Experience in project planning and reporting results.
• Experience with managing multiple projects simultaneously.

Certificates or Licenses:

• CPA, CIA, CISA or other related certification, preferred.