Compliance Manager Job Description and Profile

Compliance Manager Job Description and Profile

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

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The role naturally covers various financial, risk and control responsibilities. However, 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 Primary Job Responsibilities of a Compliance Manager.

Risk Assessment

A significant 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. As a result, compliance managers must devote themselves entirely to the ongoing development and regulatory oversight of the European System of Financial Supervision (ESFS), controls and Regulations (EU), and the FCA (UK). Regulations are subject to change. Thus, compliance managers must be aware of how these changes will affect operational performance, audit results, risk management, ethical oversight, and service delivery.

Managerial Control

In large part, compliance management is as much about the maturity of leadership as it is about 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 bold management styles and guarantee an alignment of working priorities within teams that focus on reputational and 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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