Senior Compliance Operations Manager
1 month ago
At The Portfolio Group, we are seeking an experienced Senior Compliance Operations Manager to lead our compliance efforts. This is a unique opportunity to join a dynamic team and contribute to the company's success.
Job OverviewThe successful candidate will be responsible for assessing risks, identifying patterns and trends, and managing compliance operations within the company. This includes ensuring adherence to regulatory standards and conducting internal audits and quality assessments.
We offer a competitive salary of $80,000 - $110,000 per year, depending on experience. In addition to a comprehensive benefits package, you will have the opportunity to work with a talented team and develop your skills in a fast-paced environment.
Key Responsibilities- Analyze the sales process to ensure adherence to best practices and regulatory expectations.
- Conduct quality and compliance assessments of Business Development Managers and Field/Office-Based Consultants.
- Oversee the quality assessment process across both field and office-based sales teams.
- Lead compliance investigations, identifying themes and trends to mitigate risks.
- Implement and monitor compliance controls, including spot checks on documents and processes.
- Maintain and develop current certifications.
- Conduct internal audits of processes, especially those related to the sales process, from a compliance perspective.
- Develop and deliver an education and engagement program for senior management on compliance matters.
- Collaborate with Directors to ensure a cohesive compliance strategy across the business.
- A proven background in compliance management.
- Strong communication and problem-solving skills.
- Up-to-date knowledge of regulatory changes.
- Commercial acumen, with the ability to apply compliance knowledge practically within a business context.
- A proactive approach with a strategic mindset and a positive, can-do attitude.
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