Job Family Description: | Monitors activities to minimize the company's exposure to risk. Activities may include quantitative analysis, risk identification and remediation. Represents or supports the reputation of the company to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company and legal standards. Responsible for ensuring that all of the company's activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions. |
Job Function Description: | Monitors activities to minimize the company's exposure to risk. Activities may include quantitative analysis, risk identification and remediation. Represents or supports the representation of the company to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company and legal standards. Responsible for ensuring that all of the company's activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions. |
The Manager, Compliance oversees the day-to-day analytical and investigative activities for the Compliance Testing team to ensure compliance with regulatory, policy and/or procedural requirements. S/he provides the daily work direction, resource allocation, and communication for the Compliance Testing team. | |
Responsibility Statements | |
Sets day-to-day work direction, resource allocation, and communication for Compliance Testing team. | |
Performs real-time reviews of Testing activities for the team (planning, fieldwork testing, issue identification, and report issuance) | |
Provides recommendations to identified issues to business management on potential corrective actions. | |
Provides timely and accurate information or feedback pursuant on investigations or audit reviews. | |
Ensures policies, practices, and procedures are understood and followed by direct reports, customers, and stakeholders. | |
Conducts periodic reviews of policies, procedures, and operations for compliance. | |
Ensures efficient and effective risk and compliance management practices by adhering to required standards and processes. | |
Supports the Compliance Program through effective training and communication to the Testing team. | |
Identifies compliance issues that require follow-up or investigation. |
Disseminates written policies and procedures related to compliance testing activities. |
Communicates emerging compliance issues with management or employees. |
Provides employee training on compliance related topics, policies, or procedures. |
Displays natural skepticism and curiosity to question the status quo and uncover issues. |
Creates a good working environment in the team. |
Works toward shared goals contributing ideas and accepting change. |
Provides assistance and coaches less experienced team members. |
Takes responsibility for achieving strong results, despite balancing multiple complex demands. |
Uses information and data effectively to support a position and present a rational case. |
Ability to travel to the various Testing sites in Boston, Massachusetts and Pennsylvania (Reading, Villanova) |
Qualifications | ||
Toperformthisjobsuccessfully,anindividualmustbeabletoperformeachessentialdutysatisfactorily.Therequirementslistedbeloware representativeoftheknowledge,skill,and/orabilityrequired.Reasonableaccommodationsmaybemadetoenableindividualswithdisabilities to perform the essentialfunctions. | ||
Education | ||
Education Level | Education Details | Req or Pref |
Bachelor's Degree or equivalent work experience | Business, Finance, or equivalent degree. | Req |
Master's Degree | Business, Finance, or equivalent field. | Pref |
Work Experience | ||
Experience | Experience Details | Req or Pref |
5-9 years | Compliance, Internal Audit, Legal, Regulatory, or Financial Services. | Req |
Skills | ||
Advanced knowledge, theories, and concepts of Compliance, Risk, and Audit methodology, process development, and implementation. | ||
Knowledge of current laws and regulations that affect the organization's policies. | ||
Knowledge of regulatory and compliance standards. | ||
Ability to lead and manage a team of highly skilled professionals. | ||
Ability to adjust to new developments/changing circumstances. | ||
Ability to present ideas and concepts in a clear and concise manner to management. | ||
Detail orientated with the ability to also understand overall strategy. | ||
Strong organizational and time management skills. | ||
Ability to build and foster internal relationships. | ||
Ability to foster and embed a strong risk culture. | ||
Strong written and verbal communication skills. | ||
Ability to convey a sense of urgency and drive | ||
Ability to interact with all levels of the organizational structure, including senior leadership. |
Management | Risk and Compliance Adherence | Proficient | •Communicates the importance and benefits of risk management to counterparts •Displays natural skepticism and curiosity to question the status quo and uncoverissues •Adheres to a good root cause analysis process |
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