Overview
The Compliance Manager will create, implement, administer and enforce all policies, procedures and activities required for an organization to operation in accordance with the laws that govern the industry.
Job Description

• Plan, supervise and manage the execution of compliance projects including the Sarbanes-Oxley compliance program, internal audit, USAP, and SAS70
• For each assignment, understand the various risks, processes, controls, IT systems, business performance metrics, operational challenges, and business initiatives.
• Evaluate the adequacy and reliability of existing internal controls, and whether policies and processes are designed and operating effectively.
• Review work papers documenting work performed, observations and conclusion.
• Prepare status reports describing audit activities and results for review by senior management, and the Audit Committee.
• Coordinate with internal and external auditors regarding compliance, testing and issue resolutions.
• Communicate findings and recommendations concisely and clearly to all levels of management both verbally and in writing.
• Work with management to develop efficient and effective solutions and action plans to address recommendations
• Facilitate the company-wide risk assessment activities and formulation of a comprehensive audit plan.
• Work with process owners to help ensure that process documentation is current, compete and accurate.
• Stay abreast of business process changes impacting the control environment and provide guidance where necessary.
• Identify best practices within the audit processes.
• Work with process owners to share ideas and spread best practices across the company.
• Provide leadership and share knowledge with the audit teams and business colleagues.
• Support staff with training and professional development.
• Assist in preparation of quarterly board packages.
• Review and approve monthly US Bank custody, administration and accounting fees.
• Assist in Brokerage review and monitoring.
• Assist in compiling and monitoring debt covenant compliance.
• Perform other related duties as required and assigned
• Demonstrate behaviors which are aligned with the organization's desired culture and values

Ideal Candidate will have the following:

• Knowledge of Sarbanes-Oxley
• Must be highly proficient in Excel and Word
• Must be a team player with strong attention to detail and able to work independently
• Proven track record at delivering timely and accurate information in a fast-paced environment
• Excellent critical thinking, problem solving, mathematical skills and sound judgment
• Financial Services and, if possible, mortgage industry experience preferred
• Strong business acumen and ability to interface with executive management

Years of Experience:
8Education:
Bachelor's Degree