Compliance Manager Jobs in De Soto, IA
A Compliance Manager in the finance industry is primarily responsible for ensuring that the organization is in compliance with all internal and external rules, regulations, and standards. This includes establishing and maintaining systems for compliance, educating and training employees on compliance related matters, monitoring compliance systems, and advising management on possible risks. They also conduct regular audits and assessments to verify the effectiveness of the company's compliance controls and policies.
The role requires a strong understanding of financial legislation and regulatory standards, excellent communication skills, and a keen eye for detail. Relevant certifications such as Certified Regulatory Compliance Manager (CRCM), Certification in Control Self-Assessment (CCSA), or Certified Anti-Money Laundering Specialist (CAMS) are highly beneficial. Before becoming a Compliance Manager, one might have roles such as Compliance Analyst, Risk Management Officer, or Legal Counsel in the finance industry.
- Urbandale, IA (21 miles from De Soto, IA)
- 11 days ago
- Urbandale, IA (21 miles from De Soto, IA)
- 11 days ago
Product knowledge in variable life, variable annuities, mutual funds, managed accounts, financial planning and securities a plus....
Demographic Data for De Soto, IA
Moving to De Soto, IA? Find some basic demographic data about De Soto, IA below.
Compliance Manager Online Courses and Training Opportunities
Salary for Compliance Manager Jobs in De Soto, IA
Required or preferred licenses and certifications for Compliance Manager positions.
Highest Education Level
Compliance Managers in De Soto, IA offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Manager position
- Federal Housing Administration
- Certified Internal Auditor
- Know Your Customer
- Equity Research
- Technical Accounting
- Equities
- Derivatives
- Internal Control
- Generally Accepted Accounting Principles
- Management Reporting
- BSA
- Fixed Income
- Employee Benefits
- Capital Markets
- Securities and Exchange Commission
- Lending
- Sarbanes-Oxley Compliance
- Financial Services
- International Business
- Anti-Money Laundering
- Business Processes
- Due Diligence
- Executive Management
- Resolution
- Finance
- Liaison
- Reimbursement
- Change Management
- Risk Management
- Strategy Development
- Accounting
- Implementation
- Auditing
- Policy Administration
- Written Communication
- Documentation
- Mentoring
- Verbal Communication
- Coaching
- Investigation
- Reporting
- Collaboration
- Flexibility
- Interpersonal Skills
- Bachelor's Degree
- Policy Development
- Project Management
- Regulations
- Problem Solving
- Microsoft Excel
- Microsoft Office
- Research Skills
- Staff Supervision
- Organization
- Customer Service
- Scheduling
- Leadership
- Communication Skills
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