Compliance Program Manager
The Compliance Program Manager will build and operate a bank Compliance Management System while leading fiduciary, third-party risk, affiliate-transaction, and other non-financial-crime compliance programs. The role requires 5+ years of bank or trust-company compliance experience and strong second-line oversight, writing, and regulatory judgment.
About the job
Responsibilities
- Build and operate the Trust Bank’s Compliance Management System under the Chief Compliance Officer.
- Lead fiduciary compliance across custody, investment management, and trust activities.
- Operate third-party risk management across the vendor lifecycle, including affiliate-provided services.
- Administer affiliate transactions and support market-terms analysis under Sections 23A and 23B of the Federal Reserve Act and Regulation W.
- Oversee non-financial-crime compliance obligations, including Privacy and UDAP.
- Track regulatory developments and help deliver compliance training.
- Prepare committee and Board materials and support examinations and audits.
Requirements
- 5+ years of compliance experience at a bank or trust company.
- Fiduciary and trust compliance experience under 12 C.F.R. Part 9 and/or non-financial-crime compliance.
- Strong command of bank Compliance Management Systems and second-line oversight, including risk assessment, monitoring and testing, issue management, and reporting.
- Understanding of conflicts-of-interest and self-dealing controls in a fiduciary context.
- Exceptional writing skills, including drafting policies, procedures, and Board materials.
- Sound judgment and initiative in an ambiguous, build-from-scratch environment.
Nice-to-haves
- Third-party risk management experience aligned to OCC Bulletin 2023-17, including vendor and affiliate oversight.
- Working knowledge of Regulation W and Sections 23A/23B affiliate-transaction controls.
- Exposure to digital assets, stablecoins, or fintech custody and payments.
- Experience implementing AI and ML systems to improve quality and productivity.
- Experience with a de novo charter or OCC supervision.
- CRCM or comparable certification.
Compensation and Benefits
- Opportunity to help build trusted financial infrastructure for the agentic economy.
Skills
Compliance Management System, Fiduciary Compliance, Third-Party Risk Management, Vendor Management, Affiliate Transactions, Regulation W, Risk Assessment, Compliance Monitoring, Issue Management, Udap, Privacy Compliance, AI, Machine Learning, Digital Assets, Stablecoins
Similar jobs
Legal jobs
Postman
New York, NYCommercial counsel will lead partner, customer, vendor, and procurement contracting while advising Sales, Product, Finance, Security, and other stakeholders. The role requires a U.S. J.D., bar admission, and 5–8 years of SaaS commercial legal experience.
6sense
United States
Employment Counsel will advise the People team on employment law, investigations, policies, compliance, and multijurisdictional workforce matters while supporting broader legal and governance needs. The role requires a J.D., U.S. bar admission, at least five years of legal experience, and meaningful employment law experience.
Virta Health
United States
Own day-to-day privacy operations and cross-functional compliance initiatives for a health technology company. The role requires 4–7 years of privacy or compliance experience, knowledge of HIPAA and state privacy laws, and expertise in assessments, incident response, and data subject requests.
Forus
New York, NY
The Legal Operations Manager will build and optimize Legal & Compliance workflows, technology, reporting, governance processes, and vendor operations. The role requires at least five years of legal operations experience and strong cross-functional execution, communication, and legal technology skills.
Plaid
San Francisco, CA
Provides corporate legal and governance support across Board activities, transactions, entity management, regulatory compliance, and potential IPO preparation. Requires a JD, U.S. Bar admission, and at least four years of relevant legal experience.