Manager-Compliance

Charlotte, NC, United States
New York, NY, United States
Sandy, UT, United States
Phoenix, AZ, United States
(Hybrid)

**Job Description**

**Position Overview**

We are seeking a dynamic Manager of Compliance Monitoring to support and execute the firm’s ongoing compliance monitoring activities designed to assess adherence to regulatory requirements, internal policies, and compliance standards. This role plays a critical part in identifying emerging risks, providing continuous oversight, and strengthening the firm’s overall compliance risk management framework.

The Manager will report to the Director of Compliance Monitoring and work closely with business units, Compliance Testing, Risk, and Governance teams to provide effective challenges, promote accountability, and help ensure sustainable compliance across products, services, and operational processes.

**Responsibilities**

**Key Responsibiliti...