Description Compliance Manager Are you an experienced compliance professional ready to lead and enhance compliance programs in the financial services industry? We are seeking a Compliance Manager to join a robust Legal & Compliance team. This role entails developing and overseeing compliance policies, procedures, and testing programs to ensure adherence to regulations and support organizational integrity. Key Responsibilities Manage the firm’s Electronic Communications Program, including policies, procedures, training, and surveillance in compliance with regulations. Evaluate new technology projects and vendor assessments for potential regulatory risks and control requirements. Participate in committees, refine related policies, and handle incident investigation, response, and remediation efforts. Test accuracy of supervisory reports utilized for compliance oversight and regulatory purposes. Perform control testing over Books and Records, Privacy, Cybersecurity, Vendor Management, and other processes to ensure regulatory compliance. Revise written supervisory procedures and policies as needed, in response to evolving regulations, business processes, or testing outcomes. Work across departments to resolve compliance-related issues and ensure the implementation of effective controls. Develop and deliver compliance training to enhance understanding of policies across the organization. Assist in responding to regulatory inquiries, audits, and remediation efforts as advised by regulatory bodies or firm leadership. Identify and implement opportunities for operational and technological enhancements to improve efficiency and oversight. Qualifications 7+ years of relevant compliance experience; prior institutional broker-dealer experience is a plus. Bachelor’s degree required, with a focus in Business, Economics, Computer Science, or a related field preferred. Proficiency with enterprise compliance systems, Microsoft Office Suite, and data analytics tools. Strong interpersonal and written communication skills; ability to liaise effectively across departments in various settings. Must be detail-oriented with the ability to manage and prioritize multiple tasks effectively while maintaining confidentiality. This position offers an opportunity to help shape and execute compliance programs in a dynamic and fast-paced environment, collaborating with teams committed to excellence. Ready to take the next step in your career? Contact Douglas Rickart at 612-249-0330, connect with him on LinkedIn, or click the application link to apply! Requirements Audit Compliance, Compliance, Financial Services, Regulatory Compliance, Vendor Compliance, Control Testing, Mobile Technology, Compliance documentation Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles. Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more. All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information. © 2025 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https://www.roberthalf.com/us/en/terms) .