Manager of Risk and Compliance

The Manager of Risk and Compliance provides enterprise‑wide support in the development, implementation, and oversight of the organization’s risk and compliance framework. This role is responsible for ensuring regulatory readiness, strengthening governance structures, enhancing reporting accuracy, and driving a culture of compliance across all levels of the organization. The Manager serves as the primary point of coordination for compliance reviews, oversees the policy management lifecycle, leads lobbying reporting oversight, and manages the full lifecycle of compliance training. This position plays a critical role in advancing organizational maturity, reducing risk exposure, and ensuring alignment with evolving regulatory expectations.

Responsibilities

Compliance Reviews

• Support the implementation and ongoing administration of the Compliance Management System (CMS), including maintaining compliance inventories, supporting regulatory change management activities, and conducting risk-based compliance reviews and testing engagements.
• Monitor, track, and validate corrective actions resulting from compliance reviews
• Prepare compliance dashboards, management reports, and risk trend analyses, while partnering with business units to strengthen controls, promote compliance awareness, and support program maturity.

Governance & Policy Management

• Lead and coordinate external monitoring reviews, acting as the primary “focal point” for internal teams.
• Oversee the organization’s policy management program, including policy creation, review, approval, classification, retention, and disposition.
• Maintain controls governing access, integrity, and lifecycle management of policies in alignment with enterprise governance standards.

Lobbying Oversight

• Manage the lobbying reporting database and oversee analysis of lobbying records in collaboration with legal counsel.
• Improve the accuracy, completeness, and transparency of regulatory disclosures.

Compliance Training Program Leadership

• Manage the full lifecycle of the annual compliance training program, including design, delivery, tracking, reporting, and continuous improvement.
• Ensure consistent, high‑quality training experience for all employees at all levels.
• Leverage metrics and insights to align training content with emerging risk trends and organizational needs.

Qualifications

• Bachelor’s degree from an accredited college or university in accounting, business, finance, law, or a related field
• Minimum 7 years of experience in audit, compliance, risk management, controls
• Ability to function effectively in a fast-paced, complex, and changing environment
• Certifications in compliance, risk or audit, a plus
• Experience in financial services, a plus
• Demonstrated commitment to collaborative teamwork
• Strong oral and written communication skills
• High level of integrity and history of ethical decision-making