Compliance Manager
M1 Finance
 Chicago, IL
As a Compliance Manager, you will play a critical role in the future of M1.  Reporting to our Chief Compliance Officer, you’ll work as a leader on our compliance team by working throughout the company to help create the policies and procedures that will allow for key risk management initiatives and make sure M1 complies with all applicable laws and regulations. You’ll provide regulatory compliance and supervision advice to all lines of business and act as a subject matter expert for all things compliance related. You’ll identify trends and build processes for internal and external identified risks. Because this is a new position, you’ll be able to grow and build key initiatives for the company and have direct access to the leadership team.  


The Compliance Manager will support M1’s business with contributions in all functions of compliance, including: 


  • Audit and Regulatory Compliance

  • Compliance Administration

  • Compliance Advisory and Risk Management

  • Compliance Supervision

  • Education, Training, and Promoting a Compliance Culture

  • Policies and Procedures



Responsibilities



  • Build relationships with Compliance, Legal, and Operations colleagues and key business partners including Marketing, Design, Product, and Engineering

  • Advise business partners on application of compliance requirements for new products and services, process development, remediation, and improvement, and changes in law or regulation

  • Collaborate with business partners to draft and implement policies and procedures

  • Manage the new employee onboarding and registration process

  • Assist with BSA/AML risk assessments to identify areas of high risk and develop internal controls and processes to mitigate associated risks.

  • Develop and enhance regular and on-going compliance-related training and resources 

  • Enhance risk management program by contributing to initiatives related to third party vendor due diligence, BSA/AML, and on-going compliance testing and monitoring

  • Review internal and external communication such as email campaigns, slack messages, blog posts, and other marketing related items and recommend enhancements based off of compliance expertise 

  • Partner with customer success and operations teams to manage the review, communication and remediation of customer complaints



Qualifications



  • You have a Bachelors Degree in an accounting, business, or finance-related field or relevant military experience

  • Active FINRA Series 7 and 24 licenses, preferred (CFA, CFP, or Series 65 also preferred)

  • 5+ years of experience in a compliance, operations, or supervision role in a financial services organization

  • Experience creating, enhancing, or executing innovative compliance initiatives or programs

  • Comfortable interpreting regulatory guidance to create actionable, relatable policies and procedures 

  • Exceptional communication skills, both verbal and written

  • Ability to identify and solve complex and ambiguous issues