Compliance Manager

Compliance Manager designs and develops programs, policies, and practices to ensure that the organization complies with federal, state, and local regulatory requirements. Manages the monitoring of business activities for compliance with applicable rules and regulations. Being a Compliance Manager tracks relevant laws and regulations and directs staff to update operating manuals and procedural documents when regulations change. Prepares compliance status reports for internal management and regulatory agencies as required. Additionally, Compliance Manager requires a bachelor’s degree. Typically reports to top management. The Compliance Manager manages subordinate staff in the day-to-day performance of their jobs. True first level manager. Ensures that project/department milestones/goals are met and adhering to approved budgets. Has full authority for personnel actions. Extensive knowledge of department processes. To be a Compliance Manager typically requires 5 years experience in the related area as an individual contributor. 1 to 3 years supervisory experience may be required.

Compliance Manager Job Description Template

Our company is looking for a Compliance Manager to join our team.


  • Compete annual reviews and reports;
  • Fills out and files reports with various compliance agencies;
  • Facilitate SHIP team meetings across the site;
  • Escalation point of contact with regulators and operators and within the business for any questions and issues relating to Regulatory Compliance;
  • Provide guidance and mentoring to the Guernsey compliance team;
  • Overseeing the resolution of regulatory incidents to ensure issues are resolved;
  • Communication with artwork agencies, enforcement authorities and 3rd party auditors;
  • Have a thorough understanding of all of contract obligations;
  • Maintain formal and informal communications across the contracts;
  • HACCP Team Leader;
  • Work with Estera, Guernsey staff but at all times retaining a second line of defence role;
  • Working with Business stakeholders to ensure the timely submission of regulatory returns;
  • To be accountable for compliance with the regulatory criteria across all Regulators (QAA, Ofqual, Qualification Wales, CCEA);
  • Represent the contracts technically at meetings as and when required;
  • Hold ‘prescribed person” role of MLRO for client Licensees.


  • Previous experience training and supporting members within a team;
  • Detailed knowledge of financial services regulations relevant to the Bank’s activities;
  • Strong communication, interpersonal and influencing skills;
  • Proven leadership abilities – able to recognise, coach and support development areas on an individual needs basis;
  • A good knowledge and understanding of relevant regulations and conduct risk management principles;
  • Ability to identify and investigate areas of potential regulatory risk;
  • Ability to devise and present solutions to identified regulatory issues;
  • Good knowledge and understanding of the Risk operating environment, associated policies, procedures and protocols;
  • Strong experience in a compliance, conduct or risk management role, with the ability to manage and influence business partners;
  • Strong written communication skills required to produce detailed reports;
  • Ability to build constructive relationships with client and risk colleagues;
  • Proven organisational and planning skills;
  • Lead by example – able to create vision, motivate and inspires others to achieve.