Compliance Manager Job Description and Profile

Compliance Manager job description and profile

Compliance Officers who want to make the step into a managerial/supervisory role need to pay heed to what constitutes a realistic, and well written, compliance manager job. Within finance, it is acutely important candidates understand what a compliance manager job description will contain, and how to strategise an application.

The role naturally covers a vast gamut of financial, risk and control responsibilities, but the devil is in the detail: from the size of the team you’ll be running, to the nature of why a particular enterprise is hiring for a new compliance manager (is it natural company growth, or did the company receive a fine for breaking the law?), compliance professionals need to be acutely aware of what the job entails, and how individual enterprises envisage and promote the role via recruitment channels, jobs boards and networks.

Here are some of the main job responsibilities of a compliance manager:

Risk assessment

A major component of compliance is understanding and mitigating risk. This means managers need to be cross-functional and have working experience with risk management and how risk mitigation is operationally delivered. Successful compliance managers have solid backgrounds in roles that naturally contain elements of risk management, such as in audit, analysis and advisory jobs. Successful applicants therefore need to make sure they leverage their understanding of risk within finance.

Laws, regulations and more

Compliance is based around, influenced by, and judged upon regulatory control. This means compliance managers have to be fully invested in the ongoing evolution and regulatory oversight of the European System of Financial Supervision (ESFS), controls and regulations (EU) and the FCA (UK). Regulations can and will change. Compliance Managers are thus expected to be cognisant of how these changes will impact operational performance, audit outcomes, risk management, ethical oversight and delivery of services.

Managerial control

In large part, compliance management is as much about the maturity of leadership as it is details obsessiveness. CMs are highly regarded, trusted senior leaders – they are intimately connected to senior management and operations due to the nature of their role being sat astride financial industry rules and regulations. The impact of effective CMs can be immediate, and their ability to react at pace, within rules, requires maturity of management beyond simply running a team.

Compliance managers need to embody proactive management styles and guarantee an alignment of working priorities within teams that focus on reputational as well as ethical guidance – breaking regulatory rules cause long-lasting damage not only to a firm’s bottom line but their reputation and future-proofing of services. As such, compliance managers are front-line protectors of both current operations and future growth.

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