Compliance Manager-Finance - KP Recruiting Group - St. Louis, MO

Compliance Manager-Finance - KP Recruiting Group - St. Louis, MO -

Liable for managing a staff of compliance consultants in executing the Brokerage danger-based mostly compliance management testing program to guarantee compliance with vital regulatory necessities (i.e SEC, FINRA, OCC, Fed) in addition to company insurance policies, together with compliance with the Regulatory Compliance Danger Administration Coverage and Procedures, the CRAS+ Requirements and relevant parts of the CICAT Requirements. This place will design and develop compliance testing methods and methodologies for the group and can seek the advice of with senior compliance and enterprise management on compliance danger insurance policies, procedures and controls for the respective enterprise and/or useful space. Liable for staffing, well timed deliverables, written and oral reporting and work high quality for the staff. Will guarantee all points recognized by the staff are addressed, escalated and validated appropriately.

Required Qualifications

eight+ years of expertise in compliance, operational danger management (consists of audit, authorized, credit score danger, market danger, or the management of a course of or enterprise with accountability for compliance or operational danger), or a mixture of each or eight+ years of IT methods safety, enterprise course of management or monetary providers business expertise, of which four+ years should embrace direct expertise in compliance, operational danger management, or a mixture of each

three+ years of management expertise

Desired Qualifications

Superior Microsoft Workplace expertise

Wonderful verbal, written, and interpersonal communication expertise

Robust analytical expertise with excessive consideration to element and accuracy

Capacity to articulate complicated ideas in a transparent method

Different Desired Qualifications

Information and understanding of company insurance policies and necessities associated to compliance and/or operational danger management

Capacity to speak complicated points in a reputable and convincing method

Demonstrated functionality of exercising unbiased judgment, crucial choice-making, staying organized, and managing a number of priorities and deadlines

Audit or regulatory examination expertise and information of the legal guidelines, guidelines and laws relevant to the brokerage business strongly most popular.

Expertise with the Regulatory Compliance Danger Administration Coverage and Procedures and the CRAS+ system is strongly most popular.

Superior diploma (MBA), ideally in accounting or finance, or certification (CPA, CFP, CFA, CIA, business licenses).

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