Compliance Operations Sr. Manager (Contract)

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Requirements:

• 10+ years of compliance risk management experience in professional services, Fintech, or Financial services.
• Knowledge of financial services laws and regulations.
• Understanding of compliance risks, processes, and control frameworks.
• Strong written and verbal communication skills.
• Detail-oriented with a strong orientation to deadlines.
• Creative problem-solving and critical thinking abilities.
• Project management skills and proficiency in Excel/Sheets and PowerPoint/Slides.
• Ability to align with core values: Customer First, Collaborative, Creating Impact, Inventive.
• Professional integrity and good judgment with sensitive information.

Responsibilities:

• Analyze, review, and respond to regulatory complaints for compliant resolutions.
• Collaborate with teams to enhance complaints management and align with regulations.
• Conduct root cause analysis of complaints to identify trends and recommend actions.
• Monitor adherence to complaints policies and test process effectiveness.
• Identify weaknesses in the complaints management system and strengthen controls.
• Assist with marketing reviews for regulatory compliance.
• Execute projects accurately and on time.
• Foster collaboration across compliance areas and monitor corrective actions.