Senior Compliance Manager

The  Compliance Manager serves as the critical link between the Issue Management lifecycle and the Firm’s Control Framework. This role is designed to ensure that remediation efforts are not just administrative exercises, but lead to the development of robust, sustainable controls. You will act as a "translator" between the Compliance teams who identify risks and the Product/Engineering teams who build the systems.

• Remediation Design & Advisory: Partner with business units to move beyond "quick fixes." You will help stakeholders design long-term controls (automated or manual) that directly address the root causes identified during the issue management process.
• Control Mapping & Integration: Ensure every remediation action plan is mapped back to the Global Compliance Control Library. You will verify that new controls are properly documented, assigned owners, and integrated into the firm’s risk assessment tools.
• Root Cause Analysis (RCA): Lead deep-dive RCA sessions for complex or recurring issues. You will provide the analytical "bridge" that explains why a control failed and what specific engineering or process change is required to fix it.
• Organizational Alignment: Work closely with the Issue Management team to ensure that "Issue Closure" only happens once a control has been validated as effective, not just "implemented."
• Optimization: Manage the technical linkage between Issue Management tickets and the Governance, Risk, and Compliance (GRC) platform. You will ensure data flows seamlessly between "Issues" and "Controls."
• Control Validation Testing: Design the testing scripts used to validate that a newly developed control is working as intended before an issue is officially marked as remediated.
• Thematic Reporting: Identify trends across multiple issues to suggest "horizontal" control improvements that could benefit multiple departments simultaneously.
• Control Design & Consulting: Partnering with the business to build "Key Compliance Controls" (KCCs). You ensure that every control has a clear Objective (what are we stopping?), a Frequency (how often does it run?), and an Owner (who is responsible?).
• Control Library Maintenance: Managing the "Source of Truth" (often a GRC tool or master spreadsheet) that lists every compliance control across the firm.
• Design Effectiveness (DE) Assessment: Reviewing a control before it is even turned on to see if it is logically capable of stopping the risk. (e.g., "If this is a manual check, is the person actually qualified to spot the error?")
• Operating Effectiveness (OE) Testing: Performing "sample testing" to see if the control actually worked over a period of time.

• AML Control Master: 7+ years of experience in Anti-Money Laundering (AML), Sanctions, or Financial Crime compliance, with a specific focus on Control Design and Mapping. You should have a proven ability to translate complex AML regulations (e.g., BSA/USA PATRIOT Act, 5AMLD) into functional technical requirements for engineering teams.
• Root Cause Mastery: Expert-level ability to perform Root Cause Analysis (RCA) on AML system failures. You don't just fix a flagged transaction; you identify whether the failure lived in the fuzzy logic of the screening engine, the data ingestion layer, or the manual disposition process.
• Decisive Accountability: A track record of "holding the line" on Issue Closure.
• GRC & Systems Fluency: Hands-on experience managing a Global Compliance Control Library within GRC platforms (e.g., ServiceNow, Archer, or MetricStream). You understand how to link disparate "Issues" to a centralized risk framework to ensure horizontal visibility.
• Analytical Rigor: Proficiency in designing Operating Effectiveness (OE) testing scripts that use data-driven samples to prove a control is working. You are comfortable moving beyond "check-the-box" compliance to ensure controls are logically capable of stopping illicit activity.
• Cross-Functional Collaboration: A natural ability to multitask between Issue Management and Business Advisory. You thrive in a matrixed environment where you must influence stakeholders across Legal, Product, and Operations without direct authority.
• Education & Certification: Bachelor’s degree in a related field is required. CAMS (Certified Anti-Money Laundering Specialist) or CRCM certification is highly preferred, as is experience in high-growth FinTech or complex global banking.

• Emerging Tech & Crypto Expertise: Direct experience designing AML controls for Digital Assets, DeFi protocols, or Blockchain-based financial services, including familiarity with on-chain monitoring tools (e.g., Chainalysis, Elliptic, or TRM Labs).
• SQL & Data Visualization Fluency: Ability to write basic SQL queries to pull data for control validation or the ability to build compliance dashboards in Tableau or Looker to track remediation progress in real-time.
• Regulatory Liaison Experience: Prior experience directly managing examinations or responding to inquiries from regulators (e.g., FINRA, FinCEN, or the FCA), specifically regarding the remediation of "Matters Requiring Attention" (MRAs).
• Automation Enthusiast: Familiarity with Robotic Process Automation (RPA) or AI-driven "Low-Code" tools that can be used to automate manual AML checks, reducing the firm's reliance on human intervention for repetitive tasks.

• Competitive total compensation package
• Hybrid role – 3 days a week in our downtown San Jose office
• Comprehensive healthcare schemes for employees and dependents
• Wellness programs, team events, and employee engagement initiatives
• L&D opportunities and professional development support
• More that we love to tell you along the process!