Compliance Manager

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Type Of Hire :

Education Desired :

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What you will be doing
• Monitors and communicates regulatory changes that impact FIS products, services and business activities.
• Establishes operational objectives and work plans.
• Develops, modifies and executes company policies that affect immediate operations.
• Oversees development and implementation of compliance program policies and standards as well as addressing other required regulatory policies.
• Responds to issues and matters pertaining to regulatory compliance of FIS products, services and business activities.
• Performs periodic reviews and evaluations of FIS products, services and business activities to validate compliance with applicable laws and regulations or detect regulatory violations, weak controls or other potential areas of exposure.
• Assists in providing final disposition of any discrepancies regarding compliance issues.
• Ensures strategic objectives of the Compliance & Ethics Program are met, including execution of risk assessment activities, coordination of risk response and program testing and validation.
• Identifies key business processes, performs evaluations of risk, assesses the effectiveness of controls and promotes improvement across the organization through the deployment of risk response activities.
• Designs and deploys processes to validate FIS products, services and business activities meet all applicable regulatory requirements.
• Participates in corporate development of methods, techniques and evaluation criteria for projects, programs and people.
• Creates and delivers training to other business areas to increase compliance awareness.
• Develops and motivates staff.
• Ensures budgets and schedules meet corporate requirements.
• Maintains knowledge of applicable laws and regulations.
• Offers guidance on implementing regulatory changes.
• Communicates detailed requirements to line of business, validate solution approach and monitor status.
• Provides compliance reviews and direction for new and expanding products and services.
• Conducts compliance assessments and provides direction on any deficiencies detected by those assessments.
• Meets with business unit Compliance Officers on a regular basis for status updates on compliance issues.
• Monitors line of business compliance activities to verify that regulatory compliance deadlines and requirements are met.
• Participates in training promoting compliance awareness.
• Identifies areas of potential improvement.
• Provides updates for periodic reports.
• Interfaces with legal counsel and federal, state, and local agencies, as needed to address regulatory or compliance issues, concerns or questions.
• Assists the business with responses to customer compliance-specific questions and concerns.
• Participates with and/or leads customer focus and advisory groups.
• Prepares and approves internal and customer communications covering compliance issues (bulletins, position statements, monthly reports, etc.
• Other related duties assigned as needed.

Expereince into EDD, CDD, Lexis Nexis and BridgerInsight Preferred
EDUCATION REQUIREMENTS
Bachelor’s degree in business administration or law or the equivalent combination of education, training, or work experience.
What you Bring
• Communicates ideas both verbally and in written form in a clear, concise, and professional manner
• Comprehensive knowledge of at least one substantive area of compliance, such as banking regulations, anti-money laundering, or anti-corruption
• Excellent analytical skills
• Ability to understand technical documents and legal or regulatory reference materials
• Ability to understand and apply learned concepts
• Demonstrated ability to plan and complete work within tight time limitations
• Ability to apply creative problem solving techniques and tools to compliance issues
• Ability to follow and conduct a compliance monitoring program
• Ability to provide information to a variety of audiences and deal effectively with confidential issues that are sensitive in nature
• Ability to share information with awareness of its effect on others

About the Team

Our team of associates are great to work with, and we have an awesome team of management professionals who are there to help guide you to success. We believe our clients are the most important aspect of our business. Our determination to be the best that FIS has to offer rings true with each team member through training, knowledge and a desire to excel in the financial world.

Business Risk is truly a global department, with representation in Poznan, Poland, St. Petersburg. FL, and Hyderabad, India. We are primarily responsible for identifying, monitoring, and mitigating current and prospective risks for the Transfer Agent. In addition, we provide guidance on the industry regulations that affect our business, and we coordinate staff training and communications in support of these regulations. We are responsible for monitoring trading activity for our clients in order to ensure compliance with the funds' policies, including compliance with the funds' policies pertaining to short term or excessive trading and exchanges. AML responsibilities include Account On-boarding, Account Monitoring, Regulatory Reporting.

Added bonus if you have:

• 1-year of customer service experience

• 1-year experience working in a high-volume call center

• Excellent customer service skills that build high levels of customer satisfaction 

What we offer you

•A competitive salary with attractive benefits including private medical and dental coverage insurance

•A multifaceted job with a high degree of responsibility and a broad spectrum of opportunities

•A modern work environment and a dedicated and motivated team

•A broad range of professional education and personal development opportunities

•A work environment built on collaboration and respect

FIS JOB LEVEL DESCRIPTION
Career level management role. Excellent knowledge of the field with strong leadership skills . Manages a small function or area of responsibility either as an independent contributor or through employees who perform similar or related tasks within multiple components of the compliance program according to established policies and management guidance. Establishes operational objectives and work plans and may delegate assignments to others. Works on issues where analysis of situations or data requires an in-depth knowledge of organizational objectives of the enterprise and/or the client’s business. Exercises judgment within defined procedures and policies to determine appropriate action and administer company policies. Works closely with managers and other supervisors on team issues. Has wide latitude for decision-making. Effectively communicates with all levels of technical and non-technical personnel. Ability to negotiate complex processes and issues with others. Requires the ability to change the thinking of, or gain acceptance from others in sensitive situations without damage to the relationship. Contributes to the development, documentation and implementation of standards or guidelines.

Privacy Statement

FIS is committed to protecting the privacy and security of all personal information that we process in order to provide services to our clients. For specific information on how FIS protects personal information online, please see the .

Sourcing Model

Recruitment at FIS works primarily on a direct sourcing model; a relatively small portion of our hiring is through recruitment agencies. FIS does not accept resumes from recruitment agencies which are not on the preferred supplier list and is not responsible for any related fees for resumes submitted to job postings, our employees, or any other part of our company.

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