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Compliance Manager

EXI, Inc. Minneapolis Full-Time
$125,000.00 - $155,000.00 / year
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Corporate Risk helps all Company businesses identify and manage risk. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business and take appropriate action when business activities exceed the risk tolerance of the company.


Within Company Compliance, the Enterprise Testing group is responsible for establishing and maintaining a consolidated Enterprise Testing program at the corporate level. Enterprise Testing is responsible for developing a common methodology and standards, providing governance and oversight, executing testing and conducting horizontal reviews. Testing and validation teams are responsible for implementing the Enterprise Testing methodology and standards and executing group-specific testing.


The Manager will be responsible for managing a team of Compliance Manager(s) and Consultants in executing a risk-based compliance testing program to assess compliance with significant financial crimes-related regulatory requirements and applicable corporate policies, including the Corporate Financial Crime Risk Management Policies. The Manager must ensure this testing program adheres to the Independent Monitoring, Testing, and Validation Policy as well as other associated polices such as the Issue Management Policy. This Manager will design and develop compliance testing strategies and methodologies for the team and will consult with senior risk, compliance, law, and business management on compliance risk policies, procedures, and controls for the respective businesses and/or functional areas in COMPANY. The Manager is responsible for staffing, timely deliverables, written and oral reporting, and work quality for the team and will ensure all issues identified by the team are addressed, escalated, and validated appropriately.


As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically, you will:

•Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.

•Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.


Preferred locations are listed however the hiring manager may be open to other locations within the Company footprint


Required Qualifications:

•8+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both or 8+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both •3+ years of management experience


Desired Qualifications:

•Advanced Microsoft Office skills

•Excellent verbal, written, and interpersonal communication skills •Strong analytical skills with high attention to detail and accuracy •Ability to articulate complex concepts in a clear manner •Solid critical thinking skills


Other Desired Qualifications:

•AML, Audit, Risk or regulatory examination experience and knowledge •Experience in Audit, Compliance, Risk, and Testing One or more of the following certifications is desired:

•Certified Anti-Money Laundering Specialist (CAMS) •Certified Financial Crimes Specialist (CFCS) •Certified Information Systems Auditor (CISA) •Certified Internal Auditor (CIA) •Certified Public Accountant (CPA) •Certified Regulatory Compliance Manager (CRCM) •Certified Risk And Compliance Management Professional (CRCMP)

•Certified Risk Professional Program (CRP)           

Certified Public Accountant (CPA)

Skills required

Financial Services
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EXI specializes in partnering with each client to solve strategic business issues by providing the highest quality of talent in a timely and professional manner. Our commitment to excellence begins with our client-centric approach. Through this approach, we apply our customized sourcing model, which is customized for each client engagement, and use innovative technology in conjunction with our patented interviewing techniques to help our clients identify and select best-in-class talent to meet their strategic placement goals and business needs.

EXI is different from other search firms because we practice the highest ethical standards and professionalism. We subscribe to the Association of Executive Search Consultants Code of Ethics and Professional Practice Guidelines.

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