To be effective, an individual must be able to perform each job duty successfully. 

• Manage core components for the Compliance Management System (CMS) including internal procedures, regulatory change management, issue management, training and compliance reporting 

• Maintain compliance program documentation, standards, and governance materials using enterprise document management platforms (e.g., SharePoint) 

• Develop and maintain compliance dashboards, metrics and management reports using tools such as Excel, SharePoint, and other reporting platforms 

• Develop and manage centralized repositories for compliance artifacts, evidence, and reporting to support audits, exams and internal governance 

• Facilitate meetings, working sessions, and governance forums related to compliance programs 

• Design and manage data tracking mechanisms to monitor program performance, key risk indicators (KRIs), and compliance obligations 

• Configure and manage SharePoint sites, lists, document libraries to support compliance workflows and data integrity 

• Serve as a functional partner to technology teams in the use and enhancement of compliance tools, workflows, and reporting solutions 

• Translate regulatory requirements into actionable program tasks, milestones, and documentation 

• Act as liaison between compliance, business teams, audit, risk management and technology partners 

• Support regulatory change management by coordinating intake, impact assessment, and implementation tracking across stakeholders  

• Analyze root causes and recurring themes to support risk-informed decision making 

• Support preparation of materials for senior management, risk committees, and board reporting 

• Support the adoption and optimization of GRC, compliance, or other risk management systems as applicable 

• Track regulatory change actions, dependencies, and completion status using tracking tools 

• Maintain logs, action plans, and supporting evidence within internal systems or enterprise-based tools 

• Promote data-driven compliance practices and consistent documentation standards across the organization 

• Identify opportunities to advance compliance program effectiveness, efficiency, and data quality 

• Support program maturity enhancements aligned with organizational growth and regulatory expectations 

KNOWLEDGE, SKILLS, and ABILITIES 

The requirements listed are representative of the knowledge, skills, and/or abilities required.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential job functions. 

Education and Experience 

• Bachelor's degree or equivalent work experience 

• 5+ years of progressive and direct experience in compliance, risk management, audit or regulatory program management within a regulated industry (financial services preferred) 

• Strong understanding of Compliance Management System (CMS) concepts and regulatory expectations 

• Demonstrated experience managing compliance documentation, data, and reporting in SharePoint or similar platforms 

• Advanced proficiency in Excel (e.g., pivot tables, formulas, data analysis) 

• Experience coordinating cross-functional initiatives and managing multiple workstreams. 

Licenses, Certifications, Registrations 

• Professional certification in compliance, risk, audit or project management (e.g., CRCM, CAMS, CRISC, PMP or equivalent) preferred 

Knowledge & Skills 

• Compliance program and project management 

• Data organization, reporting, and analytics 

• SharePoint site, list, and document library management 

• Executive-level written and verbal communication 

• Strong attention to detail and documentation discipline 

• Ability to influence without direct authority 

• Risk-based thinking and sound judgment 

• Comfortable in a dynamic, evolving regulatory environment 

• Leadership and talent management skills 

• Strategic thinking 

• Problem solving skills 

Leadership and Organization Development 

This position plays a key role in: 

• Strengthening compliance, governance and documentation discipline 

• Improving cross-functional coordination between compliance, business units, audit, risk management and technology 

• Supporting a culture of compliance awareness, accountability, and data-driven decision-=making 

• Enhancing organizational readiness for exams, audits, internal reviews 

Scope and Strategic Impact 

The scope of this role includes: 

• Oversight and coordination of multiple compliance program elements across business untis and functions 

• Management of compliance data, documentation, and reporting used by senior management and governance committees 

• Direct support of strategic initiatives related to program maturity, scalability, and regulatory readiness 

• Contribution to long term compliance strategy by identifying trends, gaps, and opportunities for improvement aligned with organizational objectives 

Analytical Thinking & Problem Solving  

• Uses substantial intuition and experience to complement data. 

• Gathers and analyzes information at an expert level. 

• Manages the resolution of complex or unusual business problems. 

• Applies analytical thinking, problem identification and solving, and decision making. 

• Implementation of solutions requires a short to medium term view. 

Other Skills and Abilities 

• Strong organizational, analytical, and leadership skills with ability to manage multiple priorities. 

PHYSICAL ABILITIES / WORKING CONDITIONS 

Physical Demands 

Ability to sit, talk and hear consistently 

Vision Requirements 

Close vision (clear vision at 20 inches or less) 

Distance vision (clear vision at 20 feet or more) 

Color vision (ability to identify and distinguish colors) 

Weight Lifted or Force Exerted 

Ability to lift up to 10 pounds frequently and up to 25 pounds occasionally 

Environmental 

There are no unusual environmental factors (such as a typical office) 

Noise Environment 

 Moderate noise (business office with computers and printers, light traffic)