Manager of Compliance Operations
Location: Pittsburgh, PA
Job Type: Full Time / Permanent
The Manager, Compliance Operations is responsible for ensuring compliance with management, Board and regulatory requirements. This role leads the staff ensuring the quality, timeliness and efficiency of the support and reporting provided is in keeping with COR’s and the Bank’s mission, principles and strategic business goals.
- Managing functions related to areas of responsibilities; ensuring efficient delivery of products, quality service and effective operational support for all internal and external customers.
- Ensuring resolution of routine and complex customer issues within specified timeframes and according to prescribed standards.
- Developing and implementing policies and procedures and ensuring compliance with applicable laws and regulations. Responsible for ascertaining adequacy and reliability of controls and risk mitigants, implementing new or improved controls as necessary.
- Assisting the Director and above with development and deployment of strategic goals; assures alignment of departmental plans with Bank-wide plans and priorities.
- Working cross-functionally among the other disciplines at the senior manager/manager level within COR; has the ability and agrees to assume responsibility of one or more of those disciplines when/if required.
- Identifying opportunities for system and process improvements, including new product development and implementation; working with internal stakeholders to address customer opportunities and value enhancement and managing approved implementation plans to increase the efficiency and effectiveness of the department.
- Directing the implementation, enhancement and maintenance of the operational systems of record and the various applications and system interfaces; collaborating with internal stakeholders on potential new products and process improvements to ensure system capabilities and member needs are met. Assuming responsibility for new product set up, test plan development and system testing from a functionality and operational perspective.
- Define customer service levels & serving as customer contact point for non-routine & complex issue resolution & decisions.
- Managing and directing activities related to standard and ad hoc reporting for SEC purposes, Finance Agency and other regulatory entities, Board of Directors, Bank Committees and Management purposes.
- Directing Sarbanes Oxley processes including testing, identifying gaps, monitoring remediation; reviewing and measuring adequacy of internal control environment relative to the Product Delivery Department.
- Negotiating financial resolutions and service agreements with customers and applicable vendors.
- Managing staff by performing the following: planning and assigning workload, providing performance and development plans, coaching staff for optimal performance results, managing staff performance and productivity, providing staff with professional and personal growth opportunities, and recognizing and rewarding performance.
- Due to the tasks performed in this area, late work hours for system and process support of operations may be required.
Education & Experience:
- Bachelor’s degree or equivalent experience; MBA is a plus
- Eight or more years of experience in the financial services industry including at least three years prior supervisory/management experience of staff and processes
- Demonstrated knowledge of Bank’s customers, business, products and strategic goals
- Thorough knowledge of operations functions, systems, policies and procedures for assigned area
- Excellent analytical, quantitative and problem resolution skills
- Strong organizational, communication, and project management skills
- Proficiency with various systems and software applications
- Well-developed customer relations/service skills
- Strong internal control orientation
- Ability to manage multiple tasks/projects and deadlines simultaneously