compliance manager 2 in minneapolis

posted
job type
permanent
salary
US$ 80,500 per year
apply now

job details

posted
location
minneapolis, minnesota
job category
Accounting & Auditing
job type
permanent
salary
US$ 80,500 per year
reference number
435632
phone
612.313.7997
apply now

job description

job summary:

Compliance Manager 2

The WIM Testing & Validation (T&V) function performs regulatory compliance and operational risk testing and issue validation on all the WIM businesses. This consolidated function provides independent assurance that risk programs and controls are operating effectively.

 
location: Minneapolis, Minnesota
job type: Permanent
salary: $80,500 - 149,500 per year
work hours: 8-5
education: Bachelor's degree
experience: 3 Years
 
responsibilities:

Responsibilities:

Leads the team of compliance consultants in executing the WIM Testing and Validation Team program to assure compliance with significant regulatory and operational risks as well as corporate policies, including compliance with the Operational Risk and Compliance Testing and Validation Standards, the SHRP Standards and applicable portions of the Issue Management Policy. This position will design and develop testing strategies and methodologies for the team and will consult with senior leaders on operational risk policies, procedures and controls for the respective business and/or functional area. Responsible for staffing, timely deliverables, written and oral reporting and work quality for the team. Will ensure all issues identified by the team are addressed, escalated and validated appropriately.

As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:

-Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them

-Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks

 
qualifications:

Required Qualifications

-6+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both or 6+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both

-2+ years of management experience, or 3+ years of leadership experience

Desired Qualifications

-Advanced Microsoft Office skills

-Excellent verbal, written, and interpersonal communication skills

-Strong analytical skills with high attention to detail and accuracy

-Ability to articulate complex concepts in a clear manner

-Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment

-A Master's degree or higher in accounting, finance, or economics

Other Desired Qualifications

-Active certification designation CPA, CFP, CFA, CIA, CRCM or relevant industry licenses

-Knowledge and understanding of corporate policies and requirements related to operational risk management

-Audit or regulatory examination experience and knowledge of the laws, rules and regulations applicable to the Wealth and Investment Management (WIM) business

-Experience with the Operational Risk and Compliance Testing and Validation Standards, Business Process Risk Management Procedures or the Regulatory Compliance Risk Management Policy and Procedures

 
skills: Compliance

Equal Opportunity Employer: Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.

skills

Compliance

qualification

Required Qualifications 
•6+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both or 6+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
•2+ years of management experience, or 3+ years of leadership experience

Desired Qualifications 
•Advanced Microsoft Office skills
•Excellent verbal, written, and interpersonal communication skills
•Strong analytical skills with high attention to detail and accuracy
•Ability to articulate complex concepts in a clear manner
•Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
•A Master's degree or higher in accounting, finance, or economics

Other Desired Qualifications 
•Active certification designation CPA, CFP, CFA, CIA, CRCM or relevant industry licenses 
•Knowledge and understanding of corporate policies and requirements related to operational risk management 
•Audit or regulatory examination experience and knowledge of the laws, rules and regulations applicable to the Wealth and Investment Management (WIM) business 
•Experience with the Operational Risk and Compliance Testing and Validation Standards, Business Process Risk Management Procedures or the Regulatory Compliance Risk Management Policy and Procedures
 

responsibilities

Responsibilities:
Leads the team of compliance consultants in executing the WIM Testing and Validation Team program to assure compliance with significant regulatory and operational risks as well as corporate policies, including compliance with the Operational Risk and Compliance Testing and Validation Standards, the SHRP Standards and applicable portions of the Issue Management Policy. This position will design and develop testing strategies and methodologies for the team and will consult with senior leaders on operational risk policies, procedures and controls for the respective business and/or functional area. Responsible for staffing, timely deliverables, written and oral reporting and work quality for the team. Will ensure all issues identified by the team are addressed, escalated and validated appropriately.

As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will: 
•Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them
•Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks
 

educational requirements

Bachelor's degree