Compliance Manager at TransAlliance Group

Job Summary:

• The Compliance Manager is responsible for developing, implementing, and maintaining an effective compliance program across the organization. This role ensures that all business activities adhere to applicable laws, regulations, and internal policies while supporting business objectives and mitigating compliance risks.

Duties/Responsibilities:

Compliance Framework Development & Management

• Develop, implement, and oversee a comprehensive compliance framework, policies, and standard operating procedures.
• Regularly review and update compliance documents to reflect regulatory changes and business evolution
• Lead regular compliance reviews and audits across business units.

Regulatory Management & Liaison

• Monitor regulatory developments across all operating jurisdictions and assess their business impact.
• Coordinate and manage regulatory audits, inspections, and examinations
• Ensure timely and accurate submission of all required regulatory reports and filings

Financial Crimes & Data Compliance

• Ensure effective compliance with AML, CFT, CPF, and sanctions regulations by managing and enhancing CDD/EDD, transaction monitoring, and sanction screening systems.
• Lead compliance efforts related to data protection regulations.

Compliance Risk Management

• Conduct systematic compliance risk assessments to identify, evaluate, and mitigate risks
• Review and approve customer onboarding, high-risk customers, transactions, and business activities as required

Cross-Functional Collaboration

• Collaborate with Legal, Risk, Operations, and Technology teams to ensure compliance considerations are integrated into business initiatives.

Reporting and Documentation

• Prepare regular compliance reports for executive management and the board
• Maintain comprehensive documentation of compliance activities and outcomes

Requirements:

• 5+ years of experience in a compliance role within the financial services or fintech sector.
• Compliance certifications (e.g., CAMS, ICA, CFCS, DCP) is required. 
• In-depth knowledge of compliance practices, regulatory requirements, and risk management
• Proven experience interacting with regulators and managing audits. 
• Ability to interpret complex regulations and translate them into practical business procedures