Summary of Responsibilities:  The Compliance Program Manager shall be responsible for the daily management deliverables for Compliance Transformation Plan and assist with the implementation of best practices, effective operations and compliance with applicable federal and state laws and regulations concerning the finance industry.

Essential Functions:

  • Develops and ensures implementation of an effective Compliance governance framework and process across the organization to ensure compliance with applicable state and federal laws and regulations.
  • Within the framework, consolidates department procedures and workflows by helping to build out compliance infrastructure.
  • Leads and performs comprehensive analysis of complex issues and organizational needs to identify areas of improvement and program efficiencies.
  • Ensures SharePoint is up to date, records are retained, organized, and delivered in a timely manner.
  • Collaborates with Corporate Compliance and business unit policy subject matter experts to ensure deliverables are presented in a timely manner.
  • Develops and delivers presentations to SHUSA, SC, and at the group level, which are laid out in a sound, concise and logical manner.
  • Manages the documentation and tracking process for performance reviews and ensures they are recorded properly in Workday.
  • Functions as a liaison between HR and Compliance.
  • Maintains an inventory of approved compliance job descriptions and job titles with their corresponding grade levels.
  • Creates uniform job descriptions that align with Compliance’s core competencies.
  • Correspond with HR and Talent Acquisition to oversee job postings.
  • Work with Compliance Executive Assistant to ensure org chart is properly updated and the corporate directory is accurate.

Other Functions:

  • Special projects as requested
  • Performs other duties as assigned


  • BA/BS Degree required; equivalent combination of education and experience may be substituted in lieu of degree
  • Minimum three (3)+ years of progressively responsible administrative experience working with compliance, audit or other governance functions within a large commercial and/or financial institution or in a regulatory agency, with a sound knowledge of consumer and commercial banking;
  • Self-directed work approach and the ability to quickly respond to evolving organizational needs and critical priorities.
  • Proven project management skills including development of SharePoint reports and PowerPoint presentations.
  • Excellent verbal communication including public presentations to all levels of management and employees.
  • Clear and logical business writing with attention to detail and business process analysis.
  • Ability to work under tight deadlines, multiple priorities, and handle constructive comments from multiple levels.
  • Solid understanding of the finance industry’s regulatory requirements (Fed, CFPB etc.)
  • Masterful competence of MS Office; Excel, PowerPoint and Word is essential.
  • Strong written, verbal and interpersonal communication skills with ability to foster a collaborative working relationship with multiple functional areas, operational areas, and complex business lines.
  • Strong team building, relationship management and project management.
  • Proven ability to build network quickly, influence others, and effectively address audiences of all levels.
  • Ability to travel to multiple facilities as dictated by business needs.
  • Ability to maintain confidentiality, while working closely and building trust with management.
  • Experience in preparing executive level reporting and presentation, preferred.

Working Conditions:

  • Extended working hours may be required as dictated by management and business needs.
  • Travel to multiple facilities may be required.
  • May be required to lift, push, or pull materials weighing up to twenty (20) pounds.
  • May be required to sit and review information on a computer screen for long periods of time.
  • May require repetitive motions of the hands and wrist related to writing and typing at an electronic keyboard.

Employer’s Rights:

This job description does not list all the duties of the job.  You may be asked by your supervisors or managers to perform other duties.  You will be evaluated in part based upon your performance of the tasks listed in this job description.

The employer has the right to revise this job description at any time.  This job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason.