Compliance Operations Sr. Manager (Contract)

The Compliance Operations Sr. Manager at EarnIn is responsible for analyzing and responding to regulatory complaints, collaborating with teams to enhance complaint management processes, and conducting root cause analyses to identify trends and risks. This role also involves monitoring compliance with policies, executing projects, and providing cross-functional support to ensure adherence to applicable regulations.

Candidates for the Compliance Operations Sr. Manager role at EarnIn should have over 10 years of compliance risk management experience, preferably in professional services or financial services. A strong understanding of financial regulations, compliance frameworks, and advanced analytical skills are also crucial. Additionally, effective communication and project management skills will greatly benefit applicants in this position.

To be successful as a Compliance Operations Sr. Manager at EarnIn, candidates should demonstrate strong analytical and critical thinking skills, proficiency in data management tools like Excel, and the ability to communicate effectively with diverse teams. Experience in addressing regulatory risks and a creative, commercially-oriented mindset will also be beneficial.

Yes, the Compliance Operations Sr. Manager position at EarnIn is fully remote. The US base salary range for this contract role is $142,000 - $170,000, complemented by benefits, reflecting the company's commitment to attracting top talent.

EarnIn ensures compliance by leveraging data and technology to enhance its compliance programs. The Compliance Operations Sr. Manager collaborates with cross-functional teams to align with regulatory requirements, conduct thorough reviews of complaint handling processes, and engage in continuous monitoring and improvement of compliance controls.

When answering this question, emphasize your specific roles, responsibilities, and achievements in regulatory compliance. Highlight any relevant certifications, your knowledge of applicable laws, and your problem-solving abilities in managing compliance-related challenges.

Discuss your methodology for complaint analysis, including techniques for gathering data, identifying trends, and developing effective resolutions. Additionally, explain your communication strategies with regulatory bodies and cross-functional teams to ensure compliance.

Outline your process for root cause analysis, which includes identifying discrepancies, interviewing stakeholders, and utilizing data to uncover underlying issues. Share examples of how you've successfully implemented corrective actions based on these analyses.

Explain your experiences in monitoring compliance adherence through audits, training sessions, and continuous process reviews. Talk about your approach to keeping team members informed and engaged in compliance efforts.

Choose a specific example where your intervention led to improved compliance. Discuss how you identified the issue, the actions you took to address it, and the positive outcomes that ensued, demonstrating your proactive approach to compliance management.

Detail your project management skills and tools you use, such as Agile or Lean methodologies. Give examples of how you've successfully managed compliance projects by meeting deadlines and collaborating with teams.

Describe your approach to finding a balance between compliance and business operations, focusing on open communication, stakeholder engagement, and creative problem-solving to arrive at mutually beneficial solutions.

Discuss the importance of technology in streamlining compliance processes, risk management, and data analysis. Mention any specific software or tools you are adept at using to enhance compliance efficiency and effectiveness.

Share your methods for staying informed on compliance trends and regulations, such as attending industry seminars, seeking professional development opportunities, and following relevant publications and regulatory updates.

Talk about your strategies for building relationships across teams, promoting transparency, and encouraging cooperative problem-solving, ensuring that all stakeholders are engaged and working towards common compliance goals.