Senior Manager, Compliance Operations

Role responsibilities

The Senior Manager oversees the escheatment operations team and is responsible for onboarding new lines of business, developing policies, procedures, and controls. This role also involves leading technological initiatives and ensuring compliance with SEC and state regulations.

Requirements

A BA/BS degree is required along with 5 to 8 years of experience in escheatment, brokerage operations, or risk and compliance. Strong communication skills and a process-oriented mindset are essential.

Key skills

Compliance, Escheatment, Risk Management, Project Management, Business Analysis, Interpersonal Skills, Communication, Time Management, Collaboration, Process Improvement, Automation, Attention to Detail, Technical Expertise, Financial Services, Regulatory Compliance, Problem Solving

Keywords

Escheatment, Compliance, Risk Management, Project Management, Business Analysis, Financial Services, SEC, State Regulations, Policies, Procedures, Controls, Technical Expertise, Collaboration, Automation, Efficiency, Error Reduction, Interpersonal Skills, Communication, Time Management, Attention to Detail