Job Description

JOB DESCRIPTION SUMMARY

The Compliance Manager duties will include monitoring business operations and reporting infractions, redefining policies, improving practices for possible risks and liabilities, and researching requirements for new initiatives. The Compliance Manager will manage a team which plays a critical role in mitigating risk and protecting the company’s growth and success.

RESPONSIBILITIES AND DUTIES

• Assessing & developing risk management strategies and processes; Maintain documentation of all compliance activities
• Prepare reports, report violations, and contribute resolutions
• Monitor compliance systems; Conduct compliance monitoring activities/training, and manage remediation efforts
• Regularly report to senior management on compliance issues, recommendations, and progress
• Other duties as assigned

REQUIRED SKILLS

• Organization, Communication, Problem-solving, and People skills
• Assessing and interpreting risks, Critical thinking, Creativity
• Business/IT knowledge, Integrity
• Proficient use of MS: Word, Excel, PowerPoint, Outlook.
• Proficient user of the Internet and cloud-based storage.

EDUCATION AND/OR EXPERIENCE

• Minimum of Associated degree in Business, Finance, or related field (preferred)

WORKING CONDITIONS / PHYSICAL DEMANDS

• Must be able to sit for long periods of time, talking, listening constantly daily in an office atmosphere; Typing, data entry in screens daily
• Noise level: moderate noise level; Occasionally lift up to 5 lbs.
• Some travel may be required;

APPLICATION PROCESS

Submit an LCO Financial Services Application www.lcofinancial.com